News & Updates

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FINRA Bars Advisor for Forging Signatures and Violating Regulation Best ...

The Financial Industry Regulatory Authority (FINRA) has barred Christopher Reynolds for forging customer signatures on annuity documents and vio...

TD Bank Sets Aside $2.6 Billion for Expected Fines Amid Money-Laundering...

Toronto-Dominion Bank (TD Bank) has allocated $2.6 billion to cover anticipated fines related to failures in its anti-money laundering (AML) con...

Veteran Advisor Exits Industry Amid FINRA Probe into UIT Trading Practices

Gregory Alan Corrie, a 30-year industry veteran based in Boise, Idaho, has opted to leave the securities industry rather than cooperate with a F...

SEC Freezes Assets of Wells Real Estate Investment and Leaders Amid $56 ...

The Securities and Exchange Commission (SEC) has taken emergency action against Wells Real Estate Investment, LLC, its CEO Janalie C. Bingham, a...

UBS Fined $850,000 for Supervisory Failures Leading to Investor Losses

FINRA has fined UBS Wealth Management USA $850,000 for failing to supervise an advisor who recommended unauthorized outside investments for over...

Wisconsin Financial Advisor Suspended and Fined for Unauthorized Transac...

FINRA has suspended and fined Wisconsin financial advisor John E. Pelletier after he executed 16 unauthorized transactions, allowing a client's ...

Advisor Sues Hightower, Alleging Age Discrimination and Unfair Treatment

Glenn Frank, a Massachusetts-based financial advisor, has filed a lawsuit against Hightower Holdings and Lexington Wealth Management, alleging a...

Supreme Court Limits SEC's Use of In-House Tribunals in Securities Fraud...

As reported by InvestmentNews, the Supreme Court ruled in SEC v. Jarkesy that the SEC must bring actions seeking civil penalti...

FINRA Fines and Suspends Ex-UBS Advisor for Trading in Deceased Client's...

As reported by AdvisorHub, the Financial Industry Regulatory Authority (FINRA) has fined a former UBS advisor Luis E. Nin $5,000 and su...

Oppenheimer Seeks Court Order to Block Former Financial Advisor from Sol...

Oppenheimer & Co. has filed a lawsuit in federal court to restrain former advisor David Dodson from soliciting a $65 million client book tha...

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SEC Fines New Jersey Brokerage and RIA Firms $240,000 for Impending Clie...

The Securities and Exchange Commission (SEC) has fined Nationwide Planning Associates, a New Jersey-based independent brokerage, and two affilia...

Hightower Drops Claims Against Former Advisor Amid Non-Compete Dispute

Hightower, a Chicago-based RIA firm, recently dropped its lawsuit against former advisor Lars Knudsen just days before a federal judge in Illino...

Osaic Services Fined $250,000 for Supervisory Failures in Options Trading

Osaic Services, formerly SagePoint Financial, recently agreed to pay a $250,000 fine and accept censure for failures in supervising excessive an...

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