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

Ä¢¹½´«Ã½

Ä¢¹½´«Ã½ Blog

SEC Files Charges Against Robert M.Thompson and Financial Freedom Foundation

June 4th, 2024 at 1:13 PM
The U.S. Securities and Exchange Commission (SEC) has taken legal action against Robert M. Thompson and Financial Freedom Foundation (F3 Mastermind), a private entity under his control, for allegedly defrauding investors through three securities offerings.
Read More

Bank Sues Founders of Precedent Ä¢¹½´«Ã½alth

June 3rd, 2024 at 4:08 PM
Cadence Bank has filed a lawsuit against the founders of Precedent Ä¢¹½´«Ã½alth, a San Antonio RIA, accusing them of stealing confidential information and trade secrets in an effort to poach clients from their former firm.
Read More

Advisor Ordered to Pay $2.6 Million in Damages for Breaching Asset Purchase Agreement

May 31st, 2024 at 2:13 PM
A FINRA arbitration panel has ordered Nicole E. Sennett to pay $2,557,000 in compensatory damages to Monocacy Ä¢¹½´«Ã½alth Partners and its founders, Scott A. Brantingson and his son, Scott M. Brantingson.
Read More

FINRA Targets Repeat Offenders and Reg BI Violations in Enforcement Focus

May 29th, 2024 at 1:22 PM
AdvisorHub reports that the Financial Industry Regulatory Authority (FINRA) is advocating more stringent penalties for repeat offenders who fail to comply with FINRA rules or securities laws.
Read More

SEC and FinCEN Propose Stricter Anti-Money Laundering Rules for Investment Advisors

May 28th, 2024 at 10:22 AM
The Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) have proposed a rule to enhance anti-money laundering (AML) and counter-terrorism practices for registered investment advisers (RIAs) and exempt reporting advisers, including private fund and venture capital advisors.
Read More

SEC Fines Five Investment Advisory Firms for Marketing Rule Violations

May 24th, 2024 at 2:16 PM
The Securities and Exchange Commission (SEC) has taken action against five registered investment advisory (RIA) firms for breaching its updated marketing rule, resulting in a combined penalty of $200,000, as disclosed in a recent announcement.
Read More

Stifel Fined Nearly $3 Million for Supervisory Failures

May 23rd, 2024 at 1:12 PM
Stifel Financial Corp. has agreed to pay fines and restitution totaling nearly $3 million due to deficiencies in supervision and compliance regarding the sale of non-traditional exchange-traded funds (NT-ETFs) and products per a filed AWC (Acceptance, Waiver, and Consent).
Read More

Department of Labor Unveils New Fiduciary Rule

May 22nd, 2024 at 9:11 AM
The Department of Labor (DOL) has announced a comprehensive update to its fiduciary rule, marking a significant overhaul of regulations dating back to 1975.
Read More

FBI Report Highlights Rising Elder Fraud Trends

May 21st, 2024 at 11:00 AM
The FBI's Internet Crime Complaint Center (IC3) released its 2023 Elder Fraud Report, revealing a concerning surge in elder fraud complaints and associated losses.
Read More

Financial Advisor Faces Prison for Defrauding Military Families

May 20th, 2024 at 1:15 PM
A former financial advisor, Caz Craffy, faces a 20-year prison sentence for defrauding families of deceased military servicemembers, raking in over $1 million in commissions along the way.
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

1786980584 Law
August 17, 2026
Federal Judge Allows Investor Class Action Over Lightstone REIT Disclosures to Proceed

A federal judge has allowed investors to proceed with a class-action lawsuit alleging that directors and advisors of three Lightstone Value Plus REITs failed to disclose a significant conflict of interest before shareholders voted on amendments extending the funds' operating periods.

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.