Insights
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...
August 28, 2023
The Securities and Exchange Commission (SEC) has brought charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated, and its parent company BAC North America Holding Co. (BACNAH) due to th...
August 22, 2023
In an urgent response, the Securities and Exchange Commission (SEC) has taken decisive action to halt an alleged Ponzi scheme operated by Nayeem Choudhury, a resident of Durham, North Carolina, and hi...
August 21, 2023
The Securities and Exchange Commission (SEC) recently concluded its investigation and reached a settlement with RSE Markets Inc. regarding allegations of operating as an unregistered securities exchan...
August 19, 2023
The Securities and Exchange Commission (SEC) has filed charges against Joseph Michael “Mike” Todd and his companies, Todd Financial Services, LLC (TFS), and TFS Insurance Services LLC (TFS...
August 11, 2023
Retirees and other retail investors should exercise caution when considering investments in volatility-linked products. The Cboe Volatility Index (VIX), often referred to as the “fear index,R...
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Gratuito · Confidencial · Sin Obligación
500+
Casos Manejados
25+
Años de Experiencia
AV
Calificación Preeminent
$0
Honorarios Hasta Ganar