News & Updates

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Infinity Q Founder Charged by SEC For Overvaluing Assets

Infinity Q, a registered investment adviser with the Securities and Exchange Commission (SEC), oversaw a now-shuttered mutual fund, the Infinity...

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Municipal Bonds Increasingly Held by Funds Rather Than Retail Investors

The percentage of outstanding municipal bonds owned by U.S. retail investors dipped to 40% in the first three months of the year in comparison t...

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Leveraged Municipal Bond Funds Hit With Losses As Bond Market Falters

The recent bond rout has led to substantial losses for leveraged municipal bond funds. 

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FINRA Fines National Securities $9 Million Over GPB and Other Misconduct

The Financial Industry Regulatory Authority (FINRA) has fined National Securities over a host of issues, includi...

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Wells Fargo Agrees To $3.75 Million Deal Concluding Ponzi-Aid Dispute

Investors who alleged that Wells Fargo aided and abetted a real estate Ponzi scheme have asked a California fede...

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FINRA Fines United Planners Over GPB Private Placement Sales

The Financial Industry Regulatory Authority (FINRA) has fined United Planners’ Financial Services of Ameri...

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J.P. Morgan Advisors Ordered To Pay Former Partner $620,000

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered a J.P. Morgan team to pay their ...

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JP Morgan Manager Reveals Issues Regarding ESG Loan Pitches

The market for sustainability-linked loans is still severely prone to “greenwashing”, or investing m...

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SEC Investigates A.G. Morgan Financial Advisors and Others For Selling U...

The Securities and Exchange Commission (SEC) is investigating Vincent Camarda, James McArthur, and A.G. Morgan Financial Advisors.

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SEC Charges Advisors and Their Firm With Reg BI Violations Over Sales of...

The Securities and Exchange Commission (SEC) has charged Western International Securities and five of its adviso...

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Latest News & Articles
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SEC Warns Investors About Pre-IPO Investment Scams

The SEC's Office of Investor Education and Advocacy (OIEA) has issued an Investor Alert warning investors about scams that falsely offer opportu...

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Wells Fargo Advisors Continue Manual Trading Amid Vendor Disruption

Wells Fargo Advisors brokers continued placing trading orders by phone and email as a disruption involving an outside vendor persisted for a sec...

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Blackstone Limits Withdrawals From Blackstone Private Credit Fund

Blackstone's flagship private credit fund faces continued pressure from investors seeking liquidity.

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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim's team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog's bark like Jim's. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

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Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

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John O.

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