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SEC

Advisor Fraud
3/30/21 | Enforcement, News | SEC | 2 Comments

SEC Charges RIA with Pro Athlete Niche for Ripping Off Clients

SEC
FINRA, SEC

Biden SEC Doubles Down on Operational Resiliency amid Catastrophes

3/3/21 | News

2021 firm examination priorities add array of climate-related and disclosure issues to traditional focus on sales practices involving high-risk securities.

Read More

advisor exams, financial regulation, Finra, Gary Gensler, SEC, Securities and Exchange Commision
SEC
SEC

Gensler Says Scrutinizing Trading Apps Would Be Focus at SEC

3/2/21 | News

Gary Gensler, President Joe Biden’s pick for the U.S. Securities and Exchange Commission, said ensuring retail investors are protected when using trading apps that have exploded in popularity would be a focus if the Senate confirms him to lead Wall Street’s top regulator.

Read More

Advisor on Phone
FINRA, SEC, Securities America

Customer Privacy Issues Cost Securities America $125,000

2/24/21 | News

Finra censures and fines independent broker-dealer for encouraging recruited advisors to give nonpublic data on their customers to outside vendor that prepared account opening transfer documents.

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Advisor Group, Advisor Recruiting, Finra, Privacy Law, Securities America, Securities and Exchange Commission
US Securities and Exchange Commission
SEC

SEC Says It’s Probing Market Mania for Potential Misconduct

1/29/21 | News

The U.S. Securities and Exchange Commission, facing intense pressure to respond to the recent mania in the stock market, said it’s seeking to identify potential misconduct and will scrutinize brokerages’ decisions to halt buying that triggered a retail-investor revolt.

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Barred from the securities industry.
Morgan Stanley, SEC

SEC Puts Nail in Ex-Morgan Stanley Broker’s Career Coffin

1/6/21 | Enforcement, News

Former broker Barry Connell, who served prison time for stealing $5 million from customers, has been barred from the securities industry.

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Barry Connell, Crime, Financial fraud
San Jose, California Downtown
SEC

Silicon Valley Wins as SEC Allows Direct IPOs to Raise Cash

12/22/20 | News

Hot tech companies and other startups will soon be permitted to raise money on the New York Stock Exchange without paying big underwriting fees to Wall Street banks, a move that threatens to upend how U.S. initial public offerings have been conducted for decades.

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US United States Securities and Exchange Commission SEC
SEC

SEC Pushes Urgent Plan That Could Delist Chinese Companies

11/18/20 | News

The U.S. Securities and Exchange Commission is pushing ahead with a plan that threatens to kick Chinese companies off U.S. stock exchanges, setting up a late clash between Washington and Beijing as the Trump administration winds down.

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SEC Chairman Jay Clayton
SEC

SEC’s Clayton Plans to Step Down as Chairman at Year’s End

11/16/20 | News | 1 Comment

Jay Clayton, who has led the U.S. Securities and Exchange Commission for most of President Donald Trump’s term in office, said in a statement Monday that he will step down at the end of the year.

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SEC
SEC, Wells Fargo

SEC Charges Former Wells Executives with Misleading Investors

11/13/20 | News | 6 Comments

Former CEO John Stumpf and retail banking head Carrie Tolstedt allegedly inflated cross-selling results, regulator charges in the latest fallout from Wells’ long-running fake-account scandal, regulator charges.

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US United States Securities and Exchange Commission SEC
SEC

SEC Warns of Lax Branch Office Compliance as RIA Businesses Boom

11/10/20 | News

As independent SEC-registered advisory practices grow bigger and open branches, the regulator warns of far-reaching compliance deficiencies in the branches.

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SEC Policies and Compliance Rules
SEC

Brokers Trail Investment Advisors in KYC, Sell More ‘Complex’ Products–Regulators

9/23/20 | News

State regulators report notable differences between broker-dealers operating under a suitability standard and investment advisers operating under fiduciary duties as they evaluate firms’ readiness for Reg BI.

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CORONACRASH NEWS

  • Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Mar 19, 2021
  • Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Mar 18, 2021
  • Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Mar 12, 2021
  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021
  • Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Feb 25, 2021

NEWS

  • This Week’s Top 5: Ex-Morgan Stanley Star Said to Have Bugged Partner’s Office, and More

    This Week’s Top 5: Ex-Morgan Stanley Star Said to Have Bugged Partner’s Office, and More

    Apr 10, 2021
  • Credit Suisse’s New Chairman to Decide If a Deal Is the Answer

    Credit Suisse’s New Chairman to Decide If a Deal Is the Answer

    Apr 9, 2021
  • Morgan Stanley Hires $4-Mln UBS Private Wealth Team in Chicago

    Morgan Stanley Hires $4-Mln UBS Private Wealth Team in Chicago

    Apr 9, 2021
  • BlackRock Scores Biggest-Ever ETF Launch With New ESG Fund

    BlackRock Scores Biggest-Ever ETF Launch With New ESG Fund

    Apr 9, 2021
  • 25 Years Later, RIA Executive Clears His Brokerage Record

    25 Years Later, RIA Executive Clears His Brokerage Record

    Apr 8, 2021

Recruiting Winners: 2020 Year in Review

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Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
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Join Sound Financial Group CEO Paul Adams and President Cory Shepherd every week, as they help you Design and Build a Good Life™.
The Kuderna Podcast, focusing on wealth in it's original meaning- a state of well being.
Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
Made for and dedicated to those folks serious about their financial plan.
Suzanne Siracuse asks the questions nobody else asks, as influencers and interviewer collide in her new and truly unique podcast series The Big Reveal.
Our webcast is dedicated to helping our viewers get real insights by avoiding the cognitive dissonance of today’s media outlets and biased editorial filters.

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