Choosing Between Active and Passive: The most suitable approach for you depends on your individual circumstances, your investment goals,...

Synthetic Identity Fraud is reportedly on the increase. According to a recent report by the Association of Certified Fraud Examiners, the...

Education: Here's a bit of news to add to your educational know-how on life insurance: Accelerated-death benefits are common in life...

American Association of Individual Investors; www.aaii.com Bogleheads, named after Vanguard founder, John Bogle, www.bogleheads.org...

According to a report from the U.S. Department of Justice’s COVID-19 Fraud Enforcement Task Force (CFETF) released in April 2024, U.S....

Between January 2018 and November 2022, BTG Pactual US Capital, LLC violated FINRA Rules 3310(a), 3310(f), and 2010 by failing to...

Buyouts, layoffs, early retirements, and hiring freezes have added up to the steepest cuts in decades at the SEC and other federal...

Last summer, two managers, David Gentile and Jeff Schneider, were found guilty of fraud in federal court in Brooklyn, NY. Today they were...

MAY 06, 2025    By  Steve Randall  of Investment News – re-post. Great reporting, Steve, and I recommend to all who are interested in...

The SEC hailed the verdict against the investment advisor, who the agency said breached his fiduciary duty to retired and pre-retiree...

Source(s): Financial Industry Regulatory Authority; Broker Check; Investment News; Financial Advisor; Securities Division of the Arizona...

Former UBS rep permanently banned from Finra after secretly borrowing $738k from clients   What happens when you are barred from FINRA?...

Use of the title ‘advisor’ or ‘adviser’ without the required certification are now expressly prohibited by the North American Securities...

When it comes to the hot new sparkly thing on the horizon; beware. Never underestimate the all-too-human instinct to believe anything we...

Results of latest research study: "Women prioritize retirement savings advice at career start and near retirement, while experiencing a...

The SEC is undergoing a significant shift in its approach to cryptocurrency regulation, moving away from aggressive enforcement actions...

Sources: Google, SEC.gov , Finra.org , Investment News Recent report from Finra.org reports a former rep from Indiana transferred names,...

A new study set out to find out and discovered that more than four in ten of the teenagers who took part said they were uncertain about...

March 23, 2025 – Source: SEC.gov Cambridge Investment Research Advisors has agreed to pay $15 million  to resolve allegations by the SEC...

Securities and Exchange Commission says that fund and its investors lost $1.6M as a result of a breach of Fiduciary Duty. Sources: See...