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LATEST NEWS AND ARTICLES

1788198557 Law
August 31, 2026
FINRA Suspends Two Former Brokers Over $8 Million Private Securities Transactions

The Financial Industry Regulatory Authority (FINRA) has suspended two former brokers in Yorba Linda, California, for 10 months and fined each $10,000 over allegations that they participated in the sale of approximately $8 million in promissory notes issued by a private equity fund without their firm's approval, according to AdvisorHub.

1787947445 Law
August 28, 2026
SEC Accuses Goliath Ventures of $425 Million Crypto Investment Ponzi Scheme

The Securities and Exchange Commission (SEC) has filed a civil complaint against Goliath Ventures Inc.

1787852053 Law
August 27, 2026
United Capital Revives Lawsuit Against Osaic

According to AdvisorHub, United Capital Financial Advisors has revived its lawsuit against independent broker-dealer Osaic by filing an amended complaint that reframes the dispute around the alleged misuse of confidential information obtained during Osaic's unsuccessful effort to acquire the firm.