Former First American Securities Inc. president Thomas Brenner has been sentenced to over ten years in prison by a federal judge in Ohio.
I cannot thank you enough for your efforts. You have proven to be a valuable resource.
Former First American Securities Inc. president Thomas Brenner has been sentenced to over ten years in prison by a federal judge in Ohio.
Registered Investment Advisors (RIAs) are experiencing a faster growth rate in numbers compared to national brokerage firms, as indicated by recent data from Cerulli Associates, but their asset levels still trail.
In late September, iCap Enterprises Inc., a real estate investor and manager, filed for bankruptcy after raising $245 million from investors through independent broker-dealers.
Lawyers anticipate a surge in shareholder lawsuits following a series of setbacks in the US IPO market.
In a recent message underscoring the significance of ethical conduct, the Financial Industry Regulatory Authority (FINRA) has imposed a one-month suspension on a former LPL Financial advisor.
The Securities and Exchange Commission (SEC) has launched two investigations that may affect the interests of advisors and clients of JPMorgan Chase & Co.
Robert W. Baird & Co. has reached a settlement with the Financial Industry Regulatory Authority (FINRA) wherein they accepted a censure and committed to reimbursing more than $500,000 to clients who were overcharged for their mutual fund investments.
A federal judge in Manhattan has granted Morgan Stanley’s request to transfer a potential class action lawsuit to arbitration.
The Securities and Exchange Commission (SEC) is investigating Wells Fargo & Company over cash sweep options provided to investment advisory clients.
According to a Financial Industry Regulatory Authority (FINRA) complaint, Stewart "Paxton" Ginn excessively traded accounts over two and a half years, resulting in $2.22 million in losses and $2.24 million in commissions for him and his firm.


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Advisor movement across the wealth management industry accelerated sharply in 2025, with 11,172 experienced financial advisors changing firms, according to reporting by Wealth Management citing the latest Advisor Transition Report from Diamond Consultants.

The U.S.

The Financial Industry Regulatory Authority (FINRA) recently suspended and fined Lester Joel Hochler, the former Chief Compliance Officer of Cape Securities Inc., for failing to reasonably supervise recommendations of speculative debt securities and complex exchange-traded products to retail customers.