SEC Charges 16 Firms with $81 Million Penalty for Recordkeeping Failures

On Feb. 9, 2024, in a significant enforcement action, the [...]

Affinity Fraud: A Hidden Threat to Investors Highlighted by the Wilkinson Family Speaker Series

Affinity fraud, a pernicious form of investment fraud targeting specific [...]

By |July 8th, 2024|Categories: Blog|Tags: , , , , , , , , |Comments Off on Affinity Fraud: A Hidden Threat to Investors Highlighted by the Wilkinson Family Speaker Series

The DOL Elevated Conduct Standards for Retirement Advisors

The U.S. Department of Labor (DOL) has recently finalized a [...]

By |July 8th, 2024|Categories: Blog|Tags: , , , , , |Comments Off on The DOL Elevated Conduct Standards for Retirement Advisors

Enhancing Investor Protection: The SEC’s New Public Service Campaign

The recent announcement by the Securities and Exchange Commission (SEC) [...]

By |July 8th, 2024|Categories: Blog|Tags: , , , , |Comments Off on Enhancing Investor Protection: The SEC’s New Public Service Campaign

SEC Charges JAG Capital Advisors and Founder with Investment Fraud

In recent news, the Securities and Exchange Commission (SEC) has [...]

By |July 5th, 2024|Categories: Blog|Tags: , , , , |Comments Off on SEC Charges JAG Capital Advisors and Founder with Investment Fraud

Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case

In a wake up call for broker-dealers, the Financial Industry [...]

By |July 3rd, 2024|Categories: Legal Matters, Blog, FINRA, investment fraud lawyer|Tags: , |Comments Off on Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case

SEC Secures $4.5 Billion Settlement in Landmark Terraform Labs and Do Kwon Case

On June 13, 2024, the Securities and Exchange Commission (SEC) [...]

By |July 2nd, 2024|Categories: Blog|Tags: , , , , , , |Comments Off on SEC Secures $4.5 Billion Settlement in Landmark Terraform Labs and Do Kwon Case

Investment News: Next DOL Fiduciary Proposal Generates Opposition Prior to Release

The Department of Labor's (DOL) latest proposal to redefine fiduciary [...]

By |September 20th, 2023|Categories: Blog, Fraud, Legal Matters|Tags: , |Comments Off on Investment News: Next DOL Fiduciary Proposal Generates Opposition Prior to Release

Former U.S. Army Financial Counselor Charged by SEC for Defrauding Gold Star Families

The Securities and Exchange Commission (SEC) has taken decisive action [...]

By |August 30th, 2023|Categories: Legal Matters|Comments Off on Former U.S. Army Financial Counselor Charged by SEC for Defrauding Gold Star Families

SEC Alleges Additional Frank Executive’s Fraud in $175 Million Sale of Student Loan Assistance Company

The Securities and Exchange Commission (SEC) has taken legal action [...]

By |August 28th, 2023|Categories: Legal Matters|Comments Off on SEC Alleges Additional Frank Executive’s Fraud in $175 Million Sale of Student Loan Assistance Company

SEC Charges Merrill Lynch and Parent Company for Failure to Report Suspicious Activity

The Securities and Exchange Commission (SEC) has brought charges against [...]

By |August 28th, 2023|Categories: Legal Matters|Comments Off on SEC Charges Merrill Lynch and Parent Company for Failure to Report Suspicious Activity

SEC Settles Charges Against RSE Markets Inc. for Running an Unregistered Securities Exchange

The Securities and Exchange Commission (SEC) recently concluded its investigation [...]

By |August 21st, 2023|Categories: Legal Matters|Comments Off on SEC Settles Charges Against RSE Markets Inc. for Running an Unregistered Securities Exchange

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