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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: #SEC

Investor Protection

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

July 9, 2020

Investments - Private

A Chicago Community Cheated by One of Their Own

July 7, 2020


AML BitCoin: A Popular ICO Whose Touted Capabilities Do Not Exist

July 1, 2020

Investments - Strategies

Vireo AlphaSector Investment Strategies Will Make You Rich

June 8, 2020

Investor Protection

Advisory Clients Would be Outraged by Double-Billing

June 4, 2020

Regulatory Sanctions

Morgan Stanley Pays $5Mn for Overcharging ‘Wrap Fee’ Clients

June 3, 2020

Regulatory Sanctions

RIA/PE Firm Fined $1Mn for (‘Politically Correct’) Compliance Failures

June 2, 2020

Investor Protection

'Last Ones Standing' in a Ponzi Scheme

June 1, 2020

Investor Protection

Avoiding Ponzi Schemes - Look for ‘Red Flags’

June 1, 2020

Investor Protection

Turbo Global Partners – A Microcap Tale

May 15, 2020

Investor Protection

Please Consider Adding a Trust Contact to Your Account

May 9, 2020

Investments - Unsuitable

Patterns of Unsuitable UIT Trading at Raymond James

April 17, 2020


The Betting Line – ‘Zero Pay Off’ On a Sports Betting Scam

January 2, 2020


All That’s Goldman Does Not Glitter

December 17, 2019

Investor Protection

Raymond James Clients With Inactive Advisory Accounts

December 11, 2019


Friends in High Places Don’t Protect Insider Traders

December 10, 2019


Affinity Fraud Hits Haitian Community

December 5, 2019


Affinity Fraud: What it is and How to Avoid Getting Scammed

December 4, 2019

Investor Protection

Beware: Spoofed Websites Offering Phony CDs

December 3, 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

Boiler Rooms

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

October 29, 2019


This ‘Cashback Membership’ Was a Ponzi Fraud

October 22, 2019

Investments - Strategies

It’s Best to Avoid Thinly-Traded Stocks

October 21, 2019

Bad Advisors

Preferential Treatment by Georgia Adviser to Himself and His Family

October 10, 2019

Bad Advisors

Ponzi’d By My Accountant

October 8, 2019

Investments - Private

Investing in Music Concerts and Earning Heady Profits

September 25, 2019

Boiler Rooms

Boiler Rooms Are Dangerous – In Movies and In Real Life

September 23, 2019

Regulatory Sanctions

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

September 21, 2019

Wall Street News

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

September 20, 2019

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