News & Updates

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B. Riley Financial Again Delays Filing Audited Results

B. Riley Financial Inc. has encountered a setback in filing its audited results within an extended timeframe, adding to existing pressure amid c...

Former Wells Fargo Advisor Accepts Industry Bar Amidst Misuse of Client ...

A former advisor with Wells Fargo Advisors Financial Network (FiNet) in Chicago, Jayson R. Pocius, has agreed to accept an industry bar rather t...

Commonwealth Financial Network Faces Potential Damages Amid SEC Lawsuit

Commonwealth Financial Network is under fire, as it faces potential damages amounting to $111.5 million from a Securities and Exchange Commissio...

FINRA Penalizes Ex-Raymond James Advisor for Document Alterations

A former Raymond James financial advisor faced a $5,000 fine and a four-month suspension from the Financial Industry Regulatory Authority (FINRA...

Cantor Fitzgerald LP Sues Former Bankers Over Alleged Client Poaching

Cantor Fitzgerald LP has initiated legal action against PEI Global Partners Holdings LLC, a firm founded by a group of its former investment ban...

Stifel Financial Settles with FINRA Over Advisor Supervision Failures

Stifel Financial has settled with FINRA, agreeing to a censure and a nearly $460,000 payment to resolve allegations of inadequate supervision of...

FINRA Takes Action Against Advisor for Violating Regulation Best Interest

The Financial Industry Regulatory Authority (FINRA) has sanctioned a former advisor at Network 1 Financial Securities for breaching Regulation B...

FINRA Fines Morgan Stanley $1.6 Million for Municipal Securities Rule Vi...

The Financial Industry Regulatory Authority (FINRA) has imposed a $1.6 million fine on Morgan Stanley for repeated violations of rules establish...

Former Edward Jones Advisor opts for Industry Bar Amid FINRA Investigation

Reuben L. Brown, a former advisor at Edward D. Jones & Co. in Southlake, Dallas, has chosen an industry bar over cooperating with a Financia...

FINRA Issues Wells Notice to Advisor Austin Dutton

Austin Dutton, a seasoned Philadelphia-area advisor, received a Wells Notice from the Financial Industry Regulatory Authority Inc. (FINRA).

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Former Edward Jones Advisor Cleared to Solicit Clients for Wells Fargo A...

In a recent decision, a panel of three Financial Industry Regulatory Authority (FINRA) arbitrators ruled against Edward D. Jones & Co., allo...

SEC Bars Financial Advisor for Securities Trading Scheme

The Securities and Exchange Commission (SEC) has barred financial advisor Andrew Komarow from the securities industry, following a similar bar b...

Colorado Cracks Down on Imposter Investment Firms

Colorado Securities Commissioner Tung Chan recently took action against two fraudulent investment firms, Joyce Dunbar Management, and Fluxia Cap...

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