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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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Browsing Hashtag: #FinancialWatchdog

Investor Protection

Easy Marks on Wall Street

August 14, 2020

Investor Protection

Morgan Stanley Broker Stole Millions from Friends, Family

August 5, 2020

Investor Protection

A Trusted Broker for 30+ Years Ended Up Stealing Client Blind

July 9, 2020

Investments - Unsuitable

Unsuitable Sales of Exchange Traded Products

May 8, 2020

Investor Protection

You Can’t Tell the Players with a Scorecard

April 27, 2020

Investments - Unsuitable

Time and Again, Broker Sold Off Customer’s Entire Portfolio, Only to Buy It Back a Short Time Later

April 22, 2020

Investments - Unsuitable

Patterns of Unsuitable UIT Trading at Raymond James

April 17, 2020


Like Money Flying Out the Window at Royal Alliance

April 15, 2020

Investor Protection

A Couple Cheated Out of Its First Private Investment

April 9, 2020

Investor Protection

When a Son Shouldn’t Give Orders for His Father

April 8, 2020

Investments - Unsuitable

Retired Investor Gets Trolled by His Broker

April 2, 2020

Investor Protection

A $1.6 Million Inheritance: Two Sides of the Coin

January 5, 2020

Bad Advisors

Ex-NFL Players Get Scammed by Trusted Lawyer and Adviser

December 10, 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

Investments - Private

No Contest - Elderly Customers Lose Everything in Broker's Investment Scam

November 5, 2019

Investor Protection

Morgan Stanley Won’t Always Have Your Back

November 4, 2019

Boiler Rooms

‘YouTube or Netflix for Kids’ - Promoting with Cold Calls

October 29, 2019

Bad Brokers

Customers Unaware as Broker Churned Their Accounts

October 25, 2019

Investments - Private

Investing in Private Securities Transactions

October 24, 2019

Bad Brokers

Broker Reaps Sales Awards While Cheating Customers

September 22, 2019