Tagged with "Investment News"

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I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

LATEST NEWS AND ARTICLES

November 18, 2025
Former FINRA Brokers with Misconduct Histories Flock to Insurance Industry, According to Recent Study

A recent academic study reveals that thousands of brokers expelled from the securities industry for misconduct nonetheless continue to operate under state insurance licenses, often selling annuities and other financial products to unsuspecting clients.

November 17, 2025
FINRA Launches Targeted Probe into Small-Cap Foreign IPO Underwriters

The Financial Industry Regulatory Authority (FINRA) has launched a targeted investigation into broker-dealer firms that helped small foreign companies go public in the U.S., marking its latest move to combat pump-and-dump schemes.

November 14, 2025
FINRA Bars Former Edward Jones Broker in Crypto-Related Investigation

The Financial Industry Regulatory Authority (FINRA) has barred former Edward Jones representative Robert David Bienvenu for refusing to provide requested information and documents related to outside accounts and investments.