TD Securities Ordered to Pay $28 Million in Spoofing Settlements

October 2, 2024

Mercer Advisors Acquires Two RIAs With Nearly $1 Billion AUM Combined

October 2, 2024

Kingswood Adds Nashville-Based Advisory Firm with $1 Billion in Total Assets

September 26, 2024

SEC Levies Over $88 Million in Combined Fines to 11 Firms for Recordkeeping Failures

September 25, 2024

Atom Investors RIA Escapes Penalty in SEC Off-Channel Recordkeeping Case

September 25, 2024

FINRA Fines Wedbush More Than $550K in Separate Incidents

September 23, 2024

SEC Takes First Enforcement Action Against Multiple Entities in Relationship Investment Scams

September 19, 2024

Montego Minerals Closes Latest $18 Million Portfolio in Permian Basin

September 18, 2024

FINRA Sanctions Wells Fargo Clearing Services Nearly $3 Million for Short-Term Trading Abuses

September 16, 2024

Odeon Capital Group Fined $250K for Supervisory Lapses in SPAC Offerings

September 11, 2024

FINRA Sanctions Newbridge Securities Again for Lax Protocols, Supervisory Lapses

September 9, 2024

Silver Star CEO Continues to Reject Hartman’s Claims Amidst Ongoing Feud

September 9, 2024

Wealth Enhancement Group Adds $1.3B Philadelphia Hybrid RIA

September 6, 2024

Origin Investments Makes First Acquisition for Recently Launched DST Platform

September 6, 2024

Colony Capital Investment Advisors Fined $350K for Undisclosed Affiliate Deals

September 5, 2024

Merrill Lynch and BofA Securities Fined $3 Million for Supervisory Lapses Related to Manipulative Trading Activities

August 30, 2024

Former Merrill Lynch Firm With $400 Million in Assets Joins Sanctuary Wealth

August 26, 2024

FINRA Fines NY-Based Broker-Dealer $225,000 for Anti-Money Laundering Lapses

August 19, 2024

Morgan Stanley Fined $400,000 for Trade Confirmation Disclosure Failures

August 16, 2024

Cetera RIA Adds $180 Million-Asset Watters Financial Services

August 9, 2024