Insights
August 1, 2024
The recent allegations against financial advisor Raul Benitez have raised significant concerns within the securities industry. Benitez, formerly employed by Wells Fargo Clearing Services, LLC, is unde...
August 1, 2024
On June 12, 2024, the Securities and Exchange Commission (SEC) filed a cease-and-desist order against former investment advisor Kerry Lee Broderick. The order bars Broderick from any association with ...
August 1, 2024
A significant legal battle is unfolding as more than 70 investors have filed a FINRA complaint against Triad Advisors, .alleging that the firm failed to supervise two former brokers who led them into ...
July 8, 2024
The recent announcement by the Securities and Exchange Commission (SEC) regarding its new public service campaign emphasizes a pivotal initiative in bolstering investor protection across the financial...
July 8, 2024
On Feb. 9, 2024, in a significant enforcement action, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment ...
July 8, 2024
The U.S. Department of Labor (DOL) has recently finalized a rule designed to elevate conduct standards for financial advisors who provide retirement advice. This new regulation, which redefines the ro...
July 5, 2024
In recent news, the Securities and Exchange Commission (SEC) has brought forth charges against JAG Capital Advisors and its founder, Joshua Goltry, alleging they defrauded investors. This development ...
July 3, 2024
In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a whopping fine of $500,000 on Oppenheimer & Co. for failing to properly supervise certain tra...
July 2, 2024
On June 13, 2024, the Securities and Exchange Commission (SEC) announced a landmark settlement with Terraform Labs PTE, Ltd. and its CEO, Do Kwon, totaling over $4.5 billion. This resolution follows a...
September 20, 2023
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August 30, 2023
The Securities and Exchange Commission (SEC) has taken decisive action against Caz L. Craffy, a former U.S. Army financial counselor, for allegedly defrauding Gold Star family members and others. The ...
August 28, 2023
The Securities and Exchange Commission (SEC) has taken legal action against Olivier Amar, former Chief Growth Officer of Frank, in connection with fraud related to the company’s $175 million sal...
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