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Legal & Compliance

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Bitcoin's Bounce Doesn't Settle The Biggest Worries About Crypto

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Don't forget the wealth burned by collapsed exchanges, bankrupt lending programs and pump-and-dump altcoin trading.

SEC Fines 16 Advisors, Brokers $81M Over Off-Channel Messaging

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The enforcement action is part of an ongoing crackdown by the agency against undocumented business communications.

Goldman Sued By Hollywood Managers Over $7 Billion Private Equity Deal

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The management firm claims it was deceived by Goldman when it was seeking to sell itself in 2022.

Goldman Facing CFTC Probe Over Futures Trading Fees

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The firm agreed to pay more than $50 million to settle at least four CFTC cases last year.

Ohio Advisor Claims Her Firm Lied About Profits In Hightower Deal Talks

by FA Staff

Wendy Eldridge also claims in a lawsuit that her Marcum Wealth partners discriminated against her because she is a woman.

E*Trade Sued For 'Paltry' Interest Rates On Retirement Sweep Accounts

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The online broker's rates last year were at one point 500 times less than the federal-funds rate, the suit alleges.

GOP Senate Bill Seeks To Block SEC Rules On Advisor AI Use

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Sen. Ted Cruz called the SEC's proposal a "war on technology."

Ariz. Rep Suspended, Penalized $36K Over Unsuitable Alt Sales

by FA Staff

Finra alleged that Luke Johnson steered nine clients into $2.35 million worth of unsuitable investments.

LPL's Wealth Management Chief Avoids Bitcoin-ETF Hype, For Now

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“We just want to see how they work in the markets,” said Rob Pettman, head of LPL's wealth management solutions.

Online Crypto Course Founder Scammed Students With Fake Hedge Fund, SEC Alleges

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Brian Sewell's alleged fraud scheme cost 15 students about $1.2 million, the SEC said.

Congressional Bill Would Ban Mandatory Arbitration For Advisor, Broker Clients

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Under the legislation, investors would have the right to choose between arbitration and court action.

Ameriprise Advisor Arrested For Alleged Role In Jan. 6 Capitol Riot

by FA Staff

Lee Giobbie of Eastampton, N.J., was one of the first rioters to breach the Capitol building, prosecutors said.

Investor Advocate Groups Unite To End Forced Arbitration In RIA Biz

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The groups have formed a coalition to upend a dispute resolution system they say is "stacked against investors."

Barred Wisconsin Broker Indicted For Alleged Wire Fraud

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Robert C. Starnes moved $72,000 in client funds to personal accounts, federal prosecutors said.

FSI Could Ramp Up Another Suit Against DOL Fiduciary Rule

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The trade group's president said its appeals to the Department of Labor have fallen on deaf ears.

Securities America Appeals $95K Finra Arbitration Penalty

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The company is arguing a Finra arbitration panel incorrectly awarded damages to one of its former brokers.

Experts Debate The Fate Of Small RIAs

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A look at the diversity of different RIA models reveals many are growth-challenged.

FSI Asks SEC To Police “Regulation By Enforcement”

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New white paper asks regulator to create policies and internal audits to eliminate unfair practices.

Citibank Sued By New York State Over Online Fraud Safeguards

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The bank is accused of failing to sufficiently protect customers from fraudsters.

Ex-Morgan Stanley Broker Criminally Charged For Alleged $3.5M Fraud

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Jesus Rodriguez of El Paso, Texas, allegedly robbed the accounts of 10 clients.

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