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

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

SEC Charges Denver Real Estate Developer with Securities Fraud

September 6th, 2022 at 12:53 PM
The Securities and Exchange Commission (SEC) has charged a Denver real estate developer, WDC Holdings LLC, as well as its owner, Robert Watson, for allegedly misrepresenting their investments in securities offerings to fund ten distinct real estate projects. 
Read More

California Advisor Terminated From Two Firms Over Undisclosed Outside Business

September 2nd, 2022 at 1:19 PM
A California-based financial advisor had his record tarnished on two occasions in a six-month period over related undisclosed outside business activity (OBA) allegations. 
Read More

Massachusetts Initiates Sweep of Single-Stock ETFs

September 1st, 2022 at 3:24 PM
Massachusetts’ head securities regulator, William Galvin, has initiated a sweep of complex single-stock exchange-traded fund (ETF) offerings that were recently introduced to the public. 
Read More

Former Advisor Pleads Guilty To Fraudulently Obtaining Paycheck Protection Program Loans

August 31st, 2022 at 1:57 PM
A former Florida-based advisor, Gregory Blotnick, has pleaded guilty to fraudulently obtaining at least $4.6 million in Paycheck Protection Program (PPP) loans administered by the Small Business Administration (SBA) during the pandemic. 
Read More

SEC Charges 18 Defendants in International Scheme to Manipulate Stocks

August 30th, 2022 at 11:34 AM
The Securities and Exchange Commission (SEC) has charged eighteen individual and entity defendants for their roles in orchestrating a scheme in which numerous online retail brokerage accounts were hacked and fraudulently used to buy microcap equities in an effort to manipulate stock prices and trading volumes.
Read More

CFP Board Suspends Three Advisors

August 29th, 2022 at 1:26 PM
The Certified Financial Planner (CFP) Board of Standards has suspended three advisors from utilizing the CFP mark after two were charged with felonies and one faces civil fraud charges filed by the Securities and Exchange Commission (SEC). 
Read More

SEC Proposes Joint Amendments to Form PF

August 26th, 2022 at 2:00 PM
The Securities and Exchange Commission (SEC) is determining whether procced with joint amendments with the Commodity Futures Trading Commission (CFTC) to Form FP, a reporting tool utilized by the SEC to protect retails investors and oversee systemic risk.
Read More

SEC Charges Angel Oak Capital Advisors with Misleading Investors

August 25th, 2022 at 2:15 PM
The Securities and Exchange Commission (SEC) has charged Angel Oak Capital Advisors and its manager Ashish Negandhi for misleading investors regarding the firm’s fix-and-flip loan securitization’s delinquency rates. 
Read More

FINRA Warns Member Firms of E-Signature Violations

August 24th, 2022 at 1:35 PM
The Financial Industry Regulatory Authority (FINRA) has issued a regulatory notice warning financial advisor firms to closely monitor how advisors utilize third-party digital signature platforms amidst a spike in forgery and falsifications.
Read More

Former Advisor Receives Nearly 22 Years in Prison Over Fake-Annuity Scheme

August 23rd, 2022 at 2:37 PM
A former Ohio-based advisor has received a 22-year prison sentence after being convicted of misappropriating at least $9.3 million from clients.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

Thank you for your professional assistance with this matter. You are very good at what you do.

John T.

LATEST NEWS AND ARTICLES

1783957061 Law
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.

1783615970 Law
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.

1783525964 Law
July 8, 2026
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.