A Financial Industry Regulatory Authority (FINRA) arbitration panel recently issued an unusually detailed decision in a dispute between J.P. Morgan Securities and former advisor Joshua David Sappi Biering, shedding rare light on how a firm may deploy - and sometimes abuse - the Form U-5 during advisor departures.
In a rare move, the Office of Foreign Assets Control (OFAC) penalized a former U.S. government official, underscoring that professional gatekeepers can face personal liability for sanctions violations tied to trust administration.
FINRA formally has advanced its proposed overhaul of outside business activity (OBA) regulations to the Securities and Exchange Commission.
AdvisorHub has compiled a year-end review of enforcement actions and criminal proceedings.
The Financial Industry Regulatory Authority (FINRA) already has brought more Regulation Best Interest cases in 2025 than it did during all of 2024, according to statements from the regulator’s top enforcement official and a review of FINRA’s disciplinary records by AdvisorHub.
JPMorgan is weighing another significant expansion into cryptocurrency, as the firm considers allowing institutional clients to trade digital assets, according to Bloomberg Law.
The Securities and Exchange Commission (SEC) has sharpened its scrutiny of investment adviser marketing practices, signaling continued frustration with recurring compliance failures despite years of guidance and enforcement. As reported by Financial Advisor News, new staff FAQs published in January follow a December risk alert that detailed persistent deficiencies involving testimonials, endorsements, and third-party rankings.
Yieldstreet, now operating under the name Willow Wealth, continues to report significant losses to investor clients despite a high-profile rebrand.
The Securities and Exchange Commission (SEC) has charged three advisors and agents with selling millions of dollars in unregistered oil and gas securities to retail investors while failing to disclose conflicts of interest.
A new study from FINRA’s Investor Education Foundation highlights troubling shifts in retail investing, including shrinking participation, heavier reliance on social media for advice, and growing vulnerability to fraud.
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A federal appeals court ruled against an advisory firm seeking immediate, injunctive relief after a team of advisors left with hundreds of millions in client assets.
A former advisor affiliated with Cambridge Investment Research has been barred from the securities industry after declining to comply with a regulatory investigation, according to the Financial Industry Regulatory Authority (FINRA).
Financial advisors are placing more client assets into digital currencies, even as major firms caution investors about the asset class's volatility and speculative nature.
