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...

Sources:  Reuters, Market Watch, Barron’s “The arbitration panel really threw the book at Stifel,” according to one plaintiff’s attorney....

Check your motivation and avoid greed. THIS IS WHY YOU MUST PAY ATTENTION TO ALTERNATIVE INVESTMENTS IN SEARCH OF YIELD! Source(s):...

Source (s): Investment News—A very informative newsletter; Justia Law; SEC; FINRA; Govinfo.gov , and Thomson Reuters. The Financial...

SEC charges allege $4M was stolen from U.S. Investors A man is accused of raising $4 million by promising guaranteed returns and other...

Scams and plain bad advice have escalated on social media, including scams ranging from the Fuel Tax Credit to "pig-butchering" schemes...

Have a plan for that - This year, the IRS has received more than 250 reports of data breach incidents from tax professionals affecting...

Imagine getting a phone call from what sounds exactly like your grandson, urgently asking for money because he's in trouble.  He might...

Gentile and Schneider were convicted of fraud and conspiracy after a 7-week trial in federal court in Brooklyn. They’ll be sentenced in...

According to a survey conducted by the American Association of Individual Investors; When it comes to use of mutual funds, Domestic...

Elderly clients impacted in transfers to higher-fee advisory accounts. Source: SEC.gov -- Washington D.C., Feb. 14, 2025 — The...

Source(s): Financial Planning, Dan Shaw; Think Advisor; SEC. It’s happened again – Charles Schwab in another suit. Charles Schwab once...