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厙ぴ勛圖

厙ぴ勛圖 Blog

SEC Charges Wisconsin Financial Advisor For Allegedly Defrauding Senior Investors

February 3rd, 2023 at 2:00 PM
The Securities and Exchange Commission (SEC) has charged a Wisconsin-based financial advisor, Anthony Liddle, with misappropriating $1.9 million from at least 13 investors.
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Clients Increase Their Demands to Cash Out of REITs Amidst Potential Recession

February 2nd, 2023 at 1:50 PM
Investors collectively have rushed to cash out of some non-traded real estate investment trusts (REITs) during the fourth quarter, which has boosted the demand to redeem shares of net asset value REITs by $1 billion, according to investment bank Robert A. Stanger & Co. 
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Crypto Lender Genesis Files For Bankruptcy

February 1st, 2023 at 12:56 PM
Cryptocurrency lender Genesis Global LLC has filed for bankruptcy as the crypto crisis spreads following FTX’s recent meltdown. 
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Former LPL Advisor Receives 8-Year Prison Sentence For Misappropriation of Client Funds

January 31st, 2023 at 1:30 PM
A former LPL financial advisor recently was sentenced to more than eight years in prison, or 100 months, for his role in a scheme that misappropriated $2.8 million from six clients. 
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Silvergate Shares Skyrocket Amidst FTX Meltdown

January 30th, 2023 at 12:54 PM
Silvergate Capital share prices increased after the company announced its fourth-quarter results, even after FTX’s collapse, which forced Silvergate to fire staff and sell assets.
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SEC Files Suit Against Gemini and Genesis Over Crypto Earn Program

January 27th, 2023 at 1:46 PM
The Securities and Exchange Commission (SEC) has filed suit against two crypto brokerages, Genesis Global Capital and Gemini Trust Co., for breaching federal securities laws. 
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FINRA Releases 2023 Report on Its Examination and Risk Monitoring Program

January 26th, 2023 at 3:39 PM
The Financial Industry Regulatory Authority (FINRA) recently released its 2023 Report on FINRA’s Examination and Risk Monitoring Program.
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J.P. Morgan Accuses Advisor Of Improperly Transferring Clients to Morgan Stanley in His Transition

January 25th, 2023 at 2:10 PM
J.P. Morgan has asked a court for a temporary injunction to stop a former advisor from transferring clients during his transition to his new firm, Morgan Stanley. 
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SEC Charges Samuel Bankman-Fried With Using FTX To Defraud Crypto Investors

January 24th, 2023 at 2:57 PM
The Securities and Exchange Commission (SEC) has charged Samuel Bankman-Fried with operating a scheme to defraud equity investors in FTX Trading Ltd. 
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FINRA Expands Enforcement Priorities For 2023

January 23rd, 2023 at 1:08 PM
The Financial Industry Regulatory Authority (FINRA) has announced a plan to expand its enforcement priorities in 2023 to include new areas of focus. 
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LATEST NEWS AND ARTICLES

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July 13, 2026
FINRA Warns of Growing Risks From Finfluencers and AI-Driven Investment Content

Financial Industry Regulatory Authority (FINRA) regulators are raising concerns about the increasing influence of social media personalities and artificial intelligence (AI) on retail investors, particularly those managing their own investments without professional guidance.

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July 9, 2026
FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

A former regional branch manager at a broker-dealer has agreed to Financial Industry Regulatory Authority (FINRA) sanctions after the regulator found that he failed to supervise registered representatives who engaged in excessive trading and churning of customer accounts.

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SEC Sanctions David Lerner Associates for Regulation Best Interest Violations

David Lerner Associates has agreed to settle Securities and Exchange (SEC) charges alleging violations of Regulation Best Interest (Reg BI) that resulted in unnecessary costs to retail investors, according to InvestmentNews.