Tr?id=566623520170033&ev=PageView&noscript=1

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

FINRA Seeks to Extend Remote Inspections Through 2023

November 11th, 2022 at 12:55 PM
The Financial Industry Regulatory Authority (FINRA) is once again seeking to extend a temporary rule permitting financial advisory firms to remotely examine branch offices. 
Read More

FINRA Suspends Former LPL Advisor Who Promised Client “Plenty of Moneyâ€

November 10th, 2022 at 2:11 PM
The Financial Industry Regulatory Authority (FINRA) has issued a three-month suspension and $10,000 fine to a former LPL advisor who allegedly promised to double a client’s investment by improperly texting the client from a personal phone.
Read More

Hartman Short Term Income Properties Hires Raymond James to Consider Strategic Alternatives

November 9th, 2022 at 2:55 PM
A publicly registered non-traded real estate investment trust, Hartman Short Term Income Properties, has announced that its board of directors has hired Raymond James to help the business pursue strategic alternatives. 
Read More

Former Securities America Advisor Charged with Misappropriating $260,000

November 8th, 2022 at 1:20 PM
The Financial Industry Regulatory Authority (FINRA) has barred a former Securities America advisor who allegedly misappropriated $260,000 from clients.
Read More

Merrill to Discontinue 3% Withholding on Financial Advisor Pay

November 7th, 2022 at 1:16 PM
Merrill Lynch has announced plans to discontinue a 2019 pay cut program in a rare concession to its sales force amidst a period of elevated attrition, according to AdvisorHub sources.
Read More

SEC Obtains Final Judgement Against Cetera Advisors Over Fraud

November 4th, 2022 at 1:40 PM
The Securities and Exchange Commission (SEC) has obtained a final judgement against Cetera Advisors and Cetera Advisor Networks.
Read More

SEC Bars California Advisor For Fraud

November 3rd, 2022 at 3:22 PM
The Securities and Exchange Commission (SEC) has barred a California-based financial advisor and his firm for engaging in fraud. 
Read More

FINRA Orders Raymond James to Pay $1.1 Million For Overcharges and Supervisory Failures

November 2nd, 2022 at 3:11 PM
The Financial Industry Regulatory Authority (FINRA) has ordered Raymond James to pay at least $1.1 million over supervisory failures that resulted in excessive commissions charged to clients as well as unauthorized changes to account designations on trades. 
Read More

Regulators Report Surges In Investment Scams Targeting The Elderly

November 1st, 2022 at 1:14 PM
The Federal Trade Commission (FTC) has announced that older investors lost $147 million due to investment scams in 2021, which constitutes a massive 213% increase from 2020.
Read More

FINRA Fines Janney Over Compliance Failures Related to Two Advisors

October 31st, 2022 at 11:41 AM
The Financial Industry Regulatory Authority (FINRA) has fined Janney Montgomery Scott, a regional financial advisory firm, $245,000 due to compliance failures that permitted two advisors to over-concentrate 11 clients in energy equities.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

That is just fantastic! Thank you very much!

Julie N.

LATEST NEWS AND ARTICLES

1778171646 Law
May 7, 2026
FINRA Bars Former Raymond James Broker for Refusing Testimony in Unauthorized Trading Probe

A former registered representative with Raymond James has been barred from the securities industry after refusing to cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into alleged unauthorized trading activity.

1778084309 Law
May 6, 2026
FINRA Outlines Key Rulemaking Priorities and Recent Developments in Quarterly Agenda

The Financial Industry Regulatory Authority (FINRA) recently released its Quarterly Regulatory Policy Agenda, offering a detailed view of its rulemaking priorities, pending proposals, and recently approved regulatory changes.

1778000603 Law
May 5, 2026
Commonwealth Financial Network Resolves SEC Conflict of Interest Case

Commonwealth Financial Network has agreed to pay $5 million to resolve a long-standing conflict of interest case brought by the Securities and Exchange Commission, according to reporting by ThinkAdvisor.