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Blog: Brokerage Firms

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April 9, 2025

Thrivent Investment Management: Complaints and Regulatory Issues

Thrivent Investment Management has come under regulatory scrutiny and has faced multiple complaints related to potential conflicts of interest and...
March 17, 2025

Cobra Trading

Cobra Trading is a brokerage firm headquartered in Carrollton, Texas. It has attracted attention for certain fee structures, recurring compliance...
February 27, 2025

Wells Fargo $3.4 Million Settlement Elderly Investor Case

A recent $3.4 million award against Wells Fargo highlights the risks elderly investors face and the severe consequences financial institutions...
February 20, 2025

DAI Securities: FINRA Fine and Broker Misconduct Allegations

DAI Securities is a brokerage firm that warrants a thorough examination. This article explores their firm and their investment recommendations,...
February 14, 2025

Cabot Lodge Securities: Regulatory Actions and Investor Concerns

The securities industry relies heavily on trust between investors and financial institutions. When that trust is breached, the consequences can...
January 29, 2025

PNC Investments Complaints: Regulatory Actions and Customer Issues

PNC Investments (CRD#: 129052) has faced regulatory challenges and customer complaints throughout its history. This makes it crucial for investors...
January 27, 2025

Osaic Wealth, Inc. Complaints: Regulatory Actions and Legal Troubles

Osaic Wealth, Inc., or Osaic Wealth, (CRD#: 23131) has gone through regulatory challenges and customer complaints associated with their operations....
January 23, 2025

Barclays Capital: FINRA Fines and Investor Concerns Revealed

Barclays Capital has recently faced significant regulatory scrutiny and substantial fines from the Financial Industry Regulatory Authority (FINRA) due to...
January 19, 2025

Newbridge Securities: Regulatory Fines and Customer Complaints Revealed

Newbridge Securities Corporation, a brokerage firm and FINRA member, has recently faced numerous complaints and has come under scrutiny for...
December 17, 2024

Morgan Stanley Oversight Failure Leads to $15M SEC Fine

The U.S. Securities and Exchange Commission (SEC) has fined Morgan Stanley, one of the world's leading investment banks, $15 million...
May 19, 2022

Recover Your Losses in GWG Holdings, Inc. with Meyer Wilson

Now Accepting GWG Holdings Investor Claims Nationwide Last month, GWG Holdings, Inc. filed for Chapter 11 bankruptcy protection. In light...
May 17, 2022

Did You Invest With Morgan Stanley Broker Shawn E. Good?

Recently fired Morgan Stanley advisor, Shawn E. Good, of Wilmington, NC, has been accused by federal regulators of running a...

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