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Finra Permanently Bans Broker
Former UBS rep permanently banned from Finra after secretly borrowing $738k from clients What happens when you are barred from FINRA?...
Colleen MacFarlane
14 minutes ago2 min read
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What? 7% of firms calling themselves Advisors w/o proper credentials? That'll Change.
Use of the title ‘advisor’ or ‘adviser’ without the required certification are now expressly prohibited by the North American Securities...
Colleen MacFarlane
Apr 102 min read
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A Brief Warning, My Friends
When it comes to the hot new sparkly thing on the horizon; beware. Never underestimate the all-too-human instinct to believe anything we...
Colleen MacFarlane
Apr 62 min read
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Women and Money; Fiduciary Duty Still Reigns
Results of latest research study: "Women prioritize retirement savings advice at career start and near retirement, while experiencing a...
Colleen MacFarlane
Apr 31 min read
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Is the SEC reversing their stance on Cryptocurrency?
The SEC is undergoing a significant shift in its approach to cryptocurrency regulation, moving away from aggressive enforcement actions...
Colleen MacFarlane
Apr 33 min read
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Misappropriation of client data!! Mind your info when a Planner changes firms!!
Sources: Google, SEC.gov , Finra.org , Investment News Recent report from Finra.org reports a former rep from Indiana transferred names,...
Colleen MacFarlane
Mar 302 min read
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Alarming News about Teens & Money
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...
Colleen MacFarlane
Mar 282 min read
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Firm Agrees to Fine Imposed by SEC
March 23, 2025 – Source: SEC.gov Cambridge Investment Research Advisors has agreed to pay $15 million to resolve allegations by the SEC...
Colleen MacFarlane
Mar 232 min read
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SEC Agreement Violation - Firm Demands Jury Trial
Securities and Exchange Commission says that fund and its investors lost $1.6M as a result of a breach of Fiduciary Duty. Sources: See...
Colleen MacFarlane
Mar 202 min read
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Largest Sanction and Award in FINRA history
Sources: Reuters, Market Watch, Barron’s “The arbitration panel really threw the book at Stifel,” according to one plaintiff’s attorney....
Colleen MacFarlane
Mar 163 min read
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Alternative Investments - Know What You're Getting Into
Check your motivation and avoid greed. THIS IS WHY YOU MUST PAY ATTENTION TO ALTERNATIVE INVESTMENTS IN SEARCH OF YIELD! Source(s):...
Colleen MacFarlane
Mar 132 min read
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Investors are Getting Attacked from all Sides
Source (s): Investment News—A very informative newsletter; Justia Law; SEC; FINRA; Govinfo.gov , and Thomson Reuters. The Financial...
Colleen MacFarlane
Mar 92 min read
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Securities and Exchange Commission Fines Advisor-Upcoming Trial-Allegation recent
SEC charges allege $4M was stolen from U.S. Investors A man is accused of raising $4 million by promising guaranteed returns and other...
Colleen MacFarlane
Mar 62 min read
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Bad Advice Abounds
Scams and plain bad advice have escalated on social media, including scams ranging from the Fuel Tax Credit to "pig-butchering" schemes...
Colleen MacFarlane
Feb 271 min read
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Tax Pros are Required to have Cybersecurity Plan
Have a plan for that - This year, the IRS has received more than 250 reports of data breach incidents from tax professionals affecting...
Colleen MacFarlane
Feb 271 min read
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WARNING: Don't Say "Yes"
Imagine getting a phone call from what sounds exactly like your grandson, urgently asking for money because he's in trouble. He might...
Colleen MacFarlane
Feb 251 min read
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Convicted and Awaiting Sentencing
Gentile and Schneider were convicted of fraud and conspiracy after a 7-week trial in federal court in Brooklyn. They’ll be sentenced in...
Colleen MacFarlane
Feb 242 min read
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Survey Says, .....
According to a survey conducted by the American Association of Individual Investors; When it comes to use of mutual funds, Domestic...
Colleen MacFarlane
Feb 202 min read
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Breach of Fiduciary Duty
Elderly clients impacted in transfers to higher-fee advisory accounts. Source: SEC.gov -- Washington D.C., Feb. 14, 2025 — The...
Colleen MacFarlane
Feb 202 min read
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Elder Fraud, .... Again.
Source(s): Financial Planning, Dan Shaw; Think Advisor; SEC. It’s happened again – Charles Schwab in another suit. Charles Schwab once...
Colleen MacFarlane
Feb 201 min read
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