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SEC and CFTC Plan Coordinated Examinations and Enforcement Efforts

March 30th, 2026 at 11:28 AM
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) plan to coordinate examinations and enforcement actions involving firms that fall under both agencies' jurisdiction, signaling a renewed effort to streamline regulatory oversight, according to AdvisorHub.
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FINRA Charges Former Pruco Securities Representative With Forging Dozens of Customer Signatures on Annuity Applications

March 27th, 2026 at 10:43 AM
The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against former Pruco Securities representative Avinesh Shankar alleging he forged customer signatures on annuity paperwork to obtain commissions, according to ThinkAdvisor.
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FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Cooperate with Investigation

March 26th, 2026 at 11:58 AM
The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley financial advisor Gregory V.
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Inspired Healthcare Collapse Triggers Investor Claims and Heightened FINRA Scrutiny

March 25th, 2026 at 11:28 AM
The collapse of Inspired Healthcare Capital has left investors facing significant losses and has intensified legal exposure for broker-dealers and financial advisors who sold the company's private offerings.
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Former Morgan Stanley Advisor Convicted in $5 Million Fraud Scheme Involving NBA Players

March 24th, 2026 at 11:58 AM
A federal jury convicted former Morgan Stanley advisor Darryl Cohen for orchestrating a fraud scheme that targeted three professional basketball players and resulted in losses totaling approximately $5 million, according to Ä¢¹½´«Ã½alth Management.
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FINRA Charges Sutter Securities and Former CEO in Excessive Trading Case Involving Elderly Client

March 23rd, 2026 at 1:58 PM
The Financial Industry Regulatory Authority (FINRA) has filed an enforcement complaint against Sutter Securities Inc.
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McKinsey Forecasts Sweeping Changes for Ä¢¹½´«Ã½alth Management Over the Next Decade

March 20th, 2026 at 3:14 PM
A McKinsey and Co. report finds digital innovation, the sharpest rate cycle in forty years, and pandemic fallout are reshaping U.S. wealth management.
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Stifel Faces Proposed ERISA Class Action Over 401(k) Fund Performance

March 19th, 2026 at 10:28 AM
According to ThinkAdvisor, Stifel Financial now faces a proposed class action lawsuit that accuses the firm of mismanaging its profit sharing 401(k) retirement plan in violation of the Employee Retirement Income Security Act (ERISA).
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LPL and Ameriprise Notify Clients of Cybersecurity Incidents Involving Account Access

March 18th, 2026 at 12:28 PM
LPL Financial and Ameriprise Financial Services recently notified certain clients about separate cybersecurity incidents that exposed private information and, in one case, led to unauthorized trading activity.
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Bankruptcy Court Orders Emerson Equity to Produce Records in Inspired Healthcare Case

March 17th, 2026 at 11:13 AM
A federal bankruptcy court in Fort Worth has ordered Emerson Equity to produce documents connected to the sale of private securities issued by Inspired Healthcare Capital, according to InvestmentNews.
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August 12, 2026
Proposed FINRA Enforcement Reforms Draw Mixed Reactions From Industry Participants

A new report recommending changes to the Financial Industry Regulatory Authority's (FINRA) enforcement program has generated mixed reactions from investor advocates, securities attorneys and industry professionals, according to ThinkAdvisor.