News & Updates

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Financial Advisor Accepts Suspension and Fine for Misrepresenting Contin...

A financial advisor affiliated with Equity Services Inc. (ESI) has agreed to a one-month suspension and a $5,000 fine after the Financial Indust...

Vanguard Settles SEC Allegations Over Misleading Statements on Tax Impli...

Vanguard Group has agreed to pay over $106 million to settle allegations by the U.S. Securities and Exchange Commission (SEC) that it misled ret...

Former Rubicon Wealth Management President Pleads Guilty to Fraud Charges

Scott Mason, former president of Rubicon Wealth Management, pleaded guilty to multiple fraud charges after federal prosecutors accused him of mi...

FINRA Highlights Compliance Priorities for 2025

The Financial Industry Regulatory Authority (FINRA) has released its annual regulatory oversight report, emphasizing key compliance concerns for...

Regulatory Spotlight on AI in Financial Advising: Risks, Opportunities, ...

Artificial intelligence (AI) tools, including large language models (LLMs), present both promising opportunities and notable risks for financial...

Jefferies Financial Group Dismisses Miami Advisory Team Amid Alleged Mis...

Jefferies Financial Group recently terminated a team of Miami-based wealth advisors following allegations of improper money transfers and the us...

FINRA Panel Denies J.P. Morgan's $39.7 Million Claim Against Former Advisor

A FINRA arbitration panel recently rejected J.P. Morgan Securities’ bid to recover $39.7 million in damages from Edward Turley, a former f...

Edward Jones Advisor Barred by FINRA Over Allegations of Unauthorized Ac...

FINRA has barred Gwendolyn J. Hayes, a former Edward Jones advisor in Oregon after allegations surfaced that she altered client account informat...

UnitedHealth Group Agrees to $69 Million Settlement in ERISA Class Actio...

UnitedHealth Group has agreed to pay $69 million to resolve a class action lawsuit alleging violations of its fiduciary duties under the Employe...

Former Merrill Lynch Advisor Sanctioned by FINRA for Unauthorized Trades

FINRA has fined Anthony J. Seifert, a former Merrill Lynch advisor based in Mount Pleasant, South Carolina, $5,000 and suspended him for 20 days...

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Bybit Suffers Massive $1.5 Billion Crypto Hack Amid Security Concerns

Bybit, a major cryptocurrency exchange, has fallen victim to a devastating security breach, resulting in the theft of approximately $1.5 billion...

A Look at Broker William Keen Butcher’s BrokerCheck

According to BrokerCheck, Broker William Keen Butcher (CRD# 2098675) is currently registered at Independent Fina...

A Look At Regulatory Disclosures And Customer Complaints Against Buckman...

According to BrokerCheck, broker Harry John Buckman (CRD #2202467), currently registered with Buckman Advisory G...

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