Tagged with "RIAs"

SEC Bars Advisor For Misleading Statements Regarding Woodbridge Securities

Posted on June 1st, 2022 at 3:13 PM
SEC Bars Advisor For Misleading Statements Regarding Woodbridge Securities

The Securities and Exchange Commission (SEC) has barred an advisor who made misleading statements in connection with sales of Woodbridge Securities through two registered investment advisory firms (RIAs).

 
 

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Investor Advocates Push SEC to Investigate Mandatory Arbitration Requirements by RIAs

Posted on May 31st, 2022 at 1:10 PM
Investor Advocates Push SEC to Investigate Mandatory Arbitration Requirements by RIAs

A coalition of investor advocates has asked the Securities and Exchange Commission (SEC) to investigate the use of mandatory arbitration clauses that RIAs typically include in their customer agreements.

 
 

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LATEST NEWS AND ARTICLES

July 15, 2025
Former Advisor Sues Prime Capital Again Over Unpaid Equity Redemption

A former San Diego-based advisor has filed a second lawsuit against Prime Capital Financial, alleging breach of contract after the firm failed to honor agreed-upon terms related to his equity buyout.

July 14, 2025
Wisconsin Man Charged in $15.8 Million Ponzi Scheme Disguised as Investment Advisory Business

Federal authorities have charged a Wisconsin man with orchestrating a multimillion-dollar Ponzi scheme that defrauded more than 120 investors over six years.

July 11, 2025
FINRA Advances Proposal to Allow Limited Use of Performance Projections

The Financial Industry Regulatory Authority (“FINRA”) is moving forward with a proposal that would give broker-dealers limited ability to market performance projections and targeted returns under specific conditions.