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

Ģý

Ģý Blog

CFP Board Adopts Revised Procedural Rules

May 23rd, 2023 at 1:12 PM
The Certified Financial Planner Board (CFP Board) recently announced the adoption of the revised Procedural Rules. These rules, which will come into effect on September 1, 2023, aim to establish fair and credible processes for investigating misconduct and enforcing the CFP Board's Code of Ethics and Standards of Conduct.
Read More

Top Merrill Advisor Resigns Amid Customer Complaints

May 22nd, 2023 at 1:09 PM
William King, a top-ranked advisor, voluntarily resigned last month after receiving at least ten customer complaints since August.
Read More

Ģýlls Fargo Pays $1 Billion to Settle Class-Action Lawsuit

May 19th, 2023 at 1:13 PM
Ģýlls Fargo has agreed to pay $1 billion to settle a shareholder lawsuit that accused the company of making misleading statements related to its compliance with federal consent orders following the unauthorized customer account scandal in 2016.
Read More

Federal Prosecutors Charge Hedge Fund Manager For Ponzi Scheme

May 18th, 2023 at 1:11 PM
A former Chicago-based commodities trader, Phillip Galles, has been charged with a single count of wire fraud for allegedly misappropriating $2 million after informing clients that the funds would be invested in commodity futures. 
Read More

FINRA Expels SW Financial and Suspends Chief Executive Officer For Reg BI Violations

May 17th, 2023 at 1:17 PM
The Financial Industry Regulatory Authority (FINRA) has sanctioned a New York-based financial advisory firm, SW Financial, and its Chief Executive Officer for multiple violations of Regulation Best Interest (Reg BI).
Read More

Financial Advisory Firms Seek to Prevent “Disharmony” on Large Teams

May 16th, 2023 at 1:26 PM
Financial advisory firms and company executives continue to promote organizing as a team, which supposedly creates an improved service model for clients.
Read More

Federal Judge Reaffirms Injunctions Against Advisors Who Departed USI for Lockton

May 15th, 2023 at 11:48 AM
A federal judge has upheld and expanded an injunction against several former USI financial advisors who departed for Lockton.
Read More

SEC Charges Two Texas Advisors Over $155 Million Fraudulent Oil & Gas Offering

May 12th, 2023 at 1:14 PM
The Securities and Exchange Commission (SEC) has charged Roy Hill and Eric Shelly along with two entities under their ownership, Clean Energy Technology Association (CETA) and Freedom Impact Consulting (FIC), for allegedly organizing a fraudulent offering that raised nearly $155 million from at least 500 investors. 
Read More

Goldman Sachs Pays $215 Million To Settle Class-Action Suit on Underpaying Women

May 11th, 2023 at 1:21 PM
Goldman Sachs has agreed to pay $215 million to settle a class-action lawsuit that accused the company of systemically underpaying female employees.
Read More

U.S. Government To Investigate Goldman’s Role in Failed SVB Deal

May 9th, 2023 at 1:07 PM
U.S. governmental agencies are set to investigate Goldman Sachs’ role in Silicon Valley Bank’s (SVB’s) last-ditched effort to raise funds in March.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

Ģý just wanted to say thanks for your work in helping us get back some of the money we lost. Ģý are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. Ģý really appreciate the work you did.

Allan and Adele

LATEST NEWS AND ARTICLES

1787157891 Law
August 19, 2026
Former UBS Financial Advisor Suspended and Fined Over Unauthorized Trading Allegations

The Financial Industry Regulatory Authority (FINRA) suspended a former UBS Ģýalth Management USA broker for three months and fined him $10,000 after finding that he executed hundreds of trades in two customers' accounts without the required written authorization.

1787156982 Law
August 19, 2026
FINRA Suspends Former Gradient Securities Advisor

The Financial Industry Regulatory Authority (FINRA) has suspended former Gradient Securities representative Mark J.

1787070589 Law
August 18, 2026
Senior Protection Case Study: Edward Jones and Senior Investor Safeguards

A recent incident involving Edward Jones illustrates how challenging it may be to employ safeguards for protecting older clients from financial exploitation.