Recent Posts in the General Category

• FINRA Issues Investor Alert About Fraud After Hurricane Florence

  Oct 1, 2018
  The Financial Industry Regulatory Authority (FINRA) issued a warning to investors about potential investment scams that promise financial gains in the ...
  Posted By Meyer Wilson
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• States Are Stepping Up with Fiduciary Rules of Their Own

  Sep 13, 2018
  With political battles aimed at dismantling federal fiduciary rules that govern broker-dealer advice to investors, some states are stepping up with ...
  Posted By Meyer Wilson
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• Are the Sales of Private Placements an Indication of Brokers Gone Bad?

  Sep 11, 2018
  The rise in sales of private stakes in companies is raising concerns among regulators and investors about investment fraud. The sale of private ...
  Posted By Meyer Wilson
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• Investor Warning: Some Scammers Pushing Advance-Fee Frauds are Using FINRA's Name

  Aug 8, 2018
  Scammers have a deep arsenal of tactics and tricks they use to prey on unsuspecting investors, and one of the most common and successful is to ...
  Posted By Meyer Wilson
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• SEC's Best Interest Standard Causing Confusion Over Undefined Rules, Vague Language

  Jul 13, 2018
  The Securities Exchange Commission (SEC) has proposed a new best interest standard that requires brokers to act in the best interest of their clients, ...
  Posted By Meyer Wilson
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• Committee for the Fiduciary Standard Pushes for Financial Advisers to Sign Fiduciary Oath

  Jun 13, 2018
  The Committee for the Fiduciary Standard is renewing its push for financial advisors to sign its fiduciary oath with the recent pressure from ...
  Posted By Meyer Wilson
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• How Does FINRA Define High-Risk Brokers?

  Jun 4, 2018
  Mike Rufino, the head of the Financial Industry Regulatory Authority (FINRA) member regulation, recently outlined how the organization defines a ...
  Posted By Meyer Wilson
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• Understanding the Risks of Data Aggregation

  Apr 10, 2018
  While using an online company to help you gather all of your financial information in one website may be convenient, it’s important to know exactly ...
  Posted By Meyer Wilson
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