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Mariner Ä¢¹½´«Ã½alth Advisors Reports Data Breach Affecting Nearly 9,000 Customers

July 14th, 2026 at 12:22 PM
Mariner Ä¢¹½´«Ã½alth Advisors LLC disclosed a data breach that exposed personal information of 8,995 customers, according to AdvisorHub.
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FINRA Warns of Growing Risks From Finfluencers and AI-Driven Investment Content

July 13th, 2026 at 11:37 AM
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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FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

July 9th, 2026 at 12:52 PM
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

July 8th, 2026 at 11:52 AM
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.
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Private Credit Funds Face Mounting Redemption Pressure as Investor Sentiment Shifts

July 7th, 2026 at 10:23 AM
A surge in investor redemption requests has intensified pressure on private credit funds, raising concerns about liquidity and long-term stability across the asset class, as reported by The Wall Street Journal.
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Schwab Imposes New Limits on Tax-Aware Long-Short Investment Strategies

July 6th, 2026 at 1:07 PM
Charles Schwab Corp.
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Financial Services Institute Backs New Jersey Bill Protecting Independent Advisor Model

July 2nd, 2026 at 1:07 PM
The Financial Services Institute (FSI) has urged New Jersey lawmakers to advance legislation that would help preserve the independent contractor status of financial advisors operating in the state.
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Private Credit Funds Face Scrutiny Over Software Exposure Amid Investor Concerns

July 1st, 2026 at 11:38 AM
Private credit fund managers are facing increased scrutiny over their exposure to software companies as investors continue to pull money from the sector during ongoing market volatility.
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FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, and Best Execution

June 30th, 2026 at 12:23 PM
The Financial Industry Regulatory Authority (FINRA) plans to intensify its enforcement efforts against Regulation Best Interest (Reg BI) violations, excessive trading, options trading, churning, and best execution failures after bringing a record number of retail investor protection cases in 2025, according to ThinkAdvisor.
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Former Arvest Ä¢¹½´«Ã½alth Representative Sanctioned by FINRA Over Improper Use of Mistaken Commission Payment

June 29th, 2026 at 10:55 AM
The Financial Industry Regulatory Authority (FINRA) has suspended former Arvest Ä¢¹½´«Ã½alth representative Brandon Still for 18 months and fined him $5,000 after determining that he improperly used firm funds that were mistakenly deposited into his account.
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TESTIMONIALS

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Jim, Stephany and the whole team were a God send.  Ä¢¹½´«Ã½ felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

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FINRA Fines RBC Capital Markets $275,000 Over Anti-Money Laundering Compliance Deficiencies

The Financial Industry Regulatory Authority (FINRA) has censured and fined RBC Capital Markets $275,000 after determining that the firm failed to establish and implement reasonable anti-money laundering (AML) policies and procedures.