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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Investments - Unsuitable

Virtually Bankrupt, An Elderly Investor Trades Options on Advice from Broker

April 3, 2020

Investments - Unsuitable

Retired Investor Gets Trolled by His Broker

April 2, 2020

Investments - Strategies

Lessons from an Agreed-Upon Investment Strategy Gone Bad

April 1, 2020

Investor Protection

NYLife Broker Forged One Too Many Customer Signatures

January 7, 2020

Investor Protection

A $1.6 Million Inheritance: Two Sides of the Coin

January 5, 2020


Consolidated Reports – Your Financial New Worth on a Single Page

January 3, 2020

Investments - Strategies

Investing with Borrowed Funds: Less ‘Margin’ for Error

December 20, 2019

Investor Protection

Risky Business: Borrowing from Customers

December 19, 2019

Investments - Unsuitable

The Gambler and Undue Concentrations

December 18, 2019

Investor Protection

It's Christmas: What Not to Give Your Broker

December 13, 2019

Investor Protection

Was Broker Done-In By Negligence and a Customer's ‘Bait and Switch’ Tactics?

December 2, 2019

Bad Brokers

Customer at Risk By Her Broker’s Cover-Ups

November 25, 2019

Investor Protection

Customer Imposter Hit Up UBS Account for $367,000

November 22, 2019

Investor Protection

Broker Used Customer’s Checks to Pay His Own Expenses

November 20, 2019

Investor Protection

Broker Suspended 9 Months for Trying to Protect Customers

November 18, 2019

Investor Protection

Robinhood Employee Steals From a Customer

November 13, 2019

Bad Brokers

Broker Fabricated Statements Used to Secure $3.2Mn in Bank Loans

November 12, 2019

Investments - Unsuitable

Non-Traditional ETFs: A Firefighter Gets Hosed

November 11, 2019

Investor Protection

Anonymous Tip Saves a Senior Investor

October 31, 2019

Investor Protection

Merrill Lynch, Raymond James Overcharged ‘College Plan’ Investors

October 30, 2019

Bad Brokers

Customers Unaware as Broker Churned Their Accounts

October 25, 2019

Investments - Private

Investing in Private Securities Transactions

October 24, 2019

Investor Protection

How Best to File a Customer Complaint

October 23, 2019


FINRA Job Postings, as of September 27, 2019

September 22, 2019

Regulatory Sanctions

Cantor Fitzgerald, BMO Capital, Canaccord Genuity Sanctioned by SEC ... And Other Fines, Sanctions and Legal Actions

September 21, 2019


FINRA September Job Postings, as of September 19, 2019

September 20, 2019

Wall Street News

JPMorgan Traders Charged with Rigging Markets, Wall Street Pay Slipping … And Other Headlined Persons and Companies

September 20, 2019


FINRA Recent Job Postings, as of July 15, 2019

July 15, 2019


FINRA Recent Job Postings, as of July 8, 2019

July 8, 2019

Wall Street News

Goldman’s Trading Rainmaker, Ex-NBA Star’s Bankruptcy, Bitcoin’s Precipitous Dive … And Other Headlines and Headliners

July 2, 2019

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