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Thank You Securities Blogs:

Stifel Nicolaus Faces $2.3 Million Fine Over Exchange-Traded Products Supervision Failures

Exchange-traded products (ETPs) are under the spotlight once again as Stifel, Nicolaus & Co. has been fined $2.3 million for...

What Is Cherry Picking?

Cherry-picking is a deceitful practice in which investment advisers or brokers allocate profitable trades to themselves or favored clients and...

William Shane Garrow Pleads Guilty to $4.2 Million Scheme

The case of William Shane Garrow—a former Senior Vice President at the Bank of Oklahoma—demonstrates the severe consequences when financial...

Robinhood Fined $45 Million by the SEC for Compliance and Cybersecurity Failures

Robinhood has been fined $45 million by the Securities and Exchange Commission (SEC), drawing attention to the increasing regulatory scrutiny...

Industry News & Information

July 10, 2025

Roger Roemmich Facing Over $16M in Allegations

Since January 2025, Roger Roemmich has had 3 customer disputes added to his record, totaling over $16 million in damages...
July 9, 2025

Cynthia Giovacchino: 12 Investor Complaints in 4 Years

Cynthia Giovacchino, currently registered with Osaic Institutions, Inc. in Seymour, Connecticut, has been the subject of multiple customer disputes involving...
July 8, 2025

Summit Brokerage Services, Inc.

Summit Brokerage Services has faced serious allegations including unauthorized trading, churning, and breach of fiduciary duty. These complaints reflect deeper...
July 7, 2025

B. Riley Baby Bonds: Risks, Losses, and Legal Options

Investors who purchased B. Riley baby bonds have experienced steep declines in market value—ranging from 40% to 75%—and are now...
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