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

Ä¢¹½´«Ã½

Ä¢¹½´«Ã½ Blog

Former Morgan Stanley Advisor Fined and Suspended for Unauthorized Trading

August 14th, 2024 at 11:25 AM
FINRA has fined a former Morgan Stanley advisor, Craig Sherman Thistlethwaite, $10,000 and suspended him for 60 days for unauthorized trading and other violations.
Read More

DOJ Launches Pilot Whistleblower Program Offering Financial Incentives for Reporting Corporate Misconduct

August 13th, 2024 at 11:34 AM
The Department of Justice (DOJ) has introduced a new pilot program offering financial rewards to whistleblowers who provide original information related to financial crimes, bribery, or healthcare fraud.
Read More

FINRA Fines Former LPL Rep Misappropriating Customer Data

August 12th, 2024 at 10:58 AM
The Financial Industry Regulatory Authority (FINRA) has fined former LPL Financial representative Nathaniel Adams $5,000 and suspended him for two months. According to ThinkAdvisor, FINRA's order reveals that Adams allegedly misappropriated the personal information of 2,300 customers.
Read More

Ex-Morgan Stanley Advisor Accepts Industry Bar for Failing to Cooperate with FINRA Investigation

August 9th, 2024 at 10:48 AM
A former Morgan Stanley advisor, John Scott McCoy Jr., has accepted an industry bar instead of cooperating with a regulatory investigation into his departure from the firm, as detailed in a disciplinary settlement known as an Acceptance, Waiver, and Consent (“AWC”).
Read More

SEC Warns of Increasing Investment Fraud Threats

August 8th, 2024 at 11:15 AM
The SEC’s Office of the Investor Advocate recently submitted its objectives report for fiscal year 2025 to Congress, highlighting the growing threat of investment fraud.
Read More

B. Riley Financial Faces New Challenges with Struggling Texas Retailer

August 7th, 2024 at 9:57 AM
B. Riley Financial Inc., a boutique investment bank, faces fresh turmoil due to its involvement with Conn’s Inc., a Texas-based home-furnishings chain on the brink of bankruptcy.
Read More

Two Raymond James Advisors Barred for Failing to Cooperate in FINRA Investigations

August 6th, 2024 at 1:50 PM
FINRA has barred two Raymond James Financial Services Inc. advisors, Bryan Noonan and Thomas Reyes, from the securities industry due to their failure to cooperate in ongoing investigations.
Read More

LPL Financial Faces Lawsuit Over Low Interest Rates in Cash Sweep Programs

August 5th, 2024 at 9:46 AM
LPL Financial is the latest target of a lawsuit concerning the interest rates it offers on uninvested cash held in customer accounts.
Read More

SEC's Private Fund Advisers Rules

August 2nd, 2024 at 10:07 AM
The Securities and Exchange Commission (SEC) is tightening the regulatory framework for Registered Investment Advisers (RIAs) with the implementation of the Private Fund Advisers Rules, set to fully take effect by early 2025.
Read More

SEC Charges Silvergate Capital and Executives with Misleading Investors

August 1st, 2024 at 11:59 AM
The Securities and Exchange Commission (SEC) has filed a complaint against Silvergate Capital Corporation and three former executives, alleging they misled investors about the strength of Silvergate Bank’s Bank Secrecy Act/Anti-Money Laundering compliance program and the monitoring of crypto customers, including the collapsed FTX.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.

Dan M.

LATEST NEWS AND ARTICLES

1786734880 Law
August 14, 2026
Cash Sweep Litigation Continues to Drive Legal Costs

Cash sweep litigation continues to increase legal costs for wealth management firms despite the Securities and Exchange Commission's (SEC) decision under the Trump administration to close pending investigations without imposing enforcement penalties, according to AdvisorHub.

1786636784 Law
August 13, 2026
FINRA Orders Centaurus Financial to Pay $1.1 Million Over Variable Annuity Supervision Failures

The Financial Industry Regulatory Authority (FINRA) has ordered Centaurus Financial Inc.

1786553985 Law
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.