Tagged with "bitcoin"

Former Wells Fargo Advisor Suspended For Unauthorized Bitcoin Purchase

Posted on December 17th, 2021 at 1:42 PM
Former Wells Fargo Advisor Suspended For Unauthorized Bitcoin Purchase

The Financial Industry Regulatory Authority (FINRA) has issued a $10,000 fine and suspended former Wells Fargo advisor, Johan Pereira, for seven months after a client hired him to assist with investing in bitcoin.

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First U.S. Bitcoin ETF Sparks Concerns For Advisors

Posted on October 21st, 2021 at 1:38 PM
First U.S. Bitcoin ETF Sparks Concerns For Advisors

The introduction of the ProShares Bitcoin Strategy ETF (BITO) is expected to send shockwaves across the financial planning industry as advisors will be prompted get up to speed on cryptocurrency investing

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Blockchain and Cryptocurrencies: A Primer for Financial Planners Part Two

Posted on February 18th, 2019 at 4:30 PM
Blockchain and Cryptocurrencies: A Primer for Financial Planners Part Two

This is the second article in our three-part series on blockchain and cryptocurrencies. Part two is a break-down of how cryptocurrencies can be utilized as investments.

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Blockchain and Cryptocurrencies: A Primer for Financial Planners

Posted on February 15th, 2019 at 2:47 PM
Blockchain and Cryptocurrencies: A Primer for Financial Planners

This is the first article in a three-part series to provide basic insight needed to understand the new world of blockchain. What is blockchain? How is it related to cryptocurrencies? What is “Bitcoin” all about?

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LATEST NEWS AND ARTICLES

March 24, 2023
Heartland Bank & Trust Co. Agrees to $9 Million Settlement For Allegedly Aiding and Abetting a Ponzi Scheme

The Securities and Exchange Commission (SEC) has agreed to a $9 million settlement
with Heartland Bank & Trust Co. over the bank’s alleged role in aiding and abetting a $75
million Ponzi scheme.

March 23, 2023
Morgan Stanley Obtains TRO Against Pennsylvania LPL Advisor Over Inherited Accounts and Misrepresentations

A federal judge has awarded Morgan Stanley a temporary restraining order (TRO)
against a Pennsylvania-based advisor who recently departed for LPL Financial.

March 22, 2023
Sanford Bernstein & Co. and Alliance Bernstein Face FINRA Arbitration Claim Over Options Advantage Strategy

Sanford Bernstein & Co. and Alliance Bernstein (Bernstein) are facing what could be the first of several Financial Industry Regulatory Authority (FINRA) arbitration claims related to its Options Advantage Strategy.