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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

May 8, 2025

TradeStation Securities: Regulatory Issues

If you're an investor using or considering TradeStation Securities, it's important to understand the platform's history of regulatory challenges. While...
May 7, 2025

Henry Duval’s Long History of Customer Disputes

If you were a client of Henry Duval, also known as Roger Allen Duvall, recent regulatory actions and client complaints...
May 6, 2025

Yilun “Tom” Liu Under Scrutiny Over Risky Options Trading and Structured Notes

Have you invested through Yilun "Tom" Liu at Morgan Stanley and suffered losses? Meyer Wilson has received calls from investors...
April 18, 2025

Edward Jones Settles For $17 Million Over Brokerage-to-Advisory Account Transfers

Edward Jones has agreed to pay $17 million to settle a multistate investigation into how it handled the transfer of...
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