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FINRA Suspends Former UBS Broker Over Personal Credit Card Transfers

January 5th, 2026 at 2:36 PM
The Financial Industry Regulatory Authority (FINRA) has sanctioned a former UBS ÍøÆØ³Ô¹Ïalth Management USA broker, Timothy R. Jones.
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FINRA Overhauls Arbitration Rules to Rebalance Arbitrator Selection and Codify Forum Practices

December 22nd, 2025 at 10:01 AM
The Financial Industry Regulatory Authority (FINRA) has approved significant amendments to its Codes of Arbitration Procedure designed to rebalance public arbitrator selection, increase transparency, and formalize several long-standing practices in the arbitration forum.
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Industry Groups Press Senate at Advance Financial Exploitation Prevention Act

December 19th, 2025 at 1:03 PM
Several industry associations are urging the U.S. Senate to pass the Financial Exploitation Prevention Act, legislation that would allow mutual fund companies and their transfer agents to delay redemptions when they reasonably suspect elder financial abuse.
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UBS Warns of Rising Default Risk in Private Credit

December 18th, 2025 at 4:28 PM
A UBS report signals that credit stress likely will intensify next year as borrowers confront inflation, elevated interest costs, and softening consumer conditions.
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Audit Failures, Whistleblower Claims, and Renewed Scrutiny of the Big Four

December 17th, 2025 at 2:08 PM
A series of lawsuits, congressional findings, and high-profile corporate collapses has reignited long-standing concerns about the audit industry’s ability to confront fraud, as reported by Bloomberg Law.
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Reminders for CFAs in Adhering to Compliance Standard, Client-Disclosure and Conflict Management Requirements

December 16th, 2025 at 12:57 PM
In 2023, the CFA Institute Board of Governors approved targeted revisions to the Standards of Professional Conduct, adding one new standard and updating two others.
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FINRA Sanctions Former Merrill Broker for Unapproved Referral Payouts

December 15th, 2025 at 11:51 AM
The Financial Industry Regulatory Authority (FINRA) issued a six-month suspension and a $7,500 fine against former Merrill Lynch broker Jeremiah Householder after finding that he accepted referral commissions from an unapproved third-party lender.
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SEC Charges Driver Who Posed as a Financial Professional and Lost Over $1 Million

December 12th, 2025 at 2:00 PM
Federal regulators charged a New York area driver with masquerading as a seasoned investment professional and causing significant losses for three investors.
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DOJ Secures Five-Year Prison Sentence in Wolf Capital Crypto Fraud Case

December 11th, 2025 at 11:52 AM
Federal prosecutors have obtained a five-year prison sentence for Travis Ford, an Oklahoma resident who admitted to orchestrating a fraudulent crypto investment scheme through Wolf Capital.
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SEC Highlights Rising Risks in RIA Consolidation and Focuses on Retailer Investor Protection

December 10th, 2025 at 4:18 PM
The Securities and Exchange Commission signaled heightened scrutiny of investment advisers involved in mergers and acquisitions, according to its newly released 2026 Examination Priorities.
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