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Protecting Against Investment Fraud 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...

We’ll Get Started With These 3 Simple Steps

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Inappropriate Investment Recommendations

Suing the Brokerage Firm

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Regulation D

Protecting Against Investment Fraud

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

What Is Cherry Picking?

William Shane Garrow Pleads Guilty to $4.2 Million Scheme

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

We’ll Get Started With These 3 Simple Steps

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