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Thank You Securities Blogs:

SEC Orders Vanguard and Empower to Pay $25 Million Over Misleading Disclosures

On August 29, 2025, the Securities and Exchange Commission (SEC) announced enforcement actions against Vanguard Advisers and Empower Advisory Group...

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...

Industry News & Information

October 13, 2025

Former LPL Broker Lisa Boisselle and Wealthwise Tied to $1.4 Million in Crypto Schemes

In August 2025, the Arizona Securities Division issued a cease and desist order against former LPL Financial broker Lisa Boisselle...
October 12, 2025

Avantax Investment Services Regulatory Issues and Complaints

Avantax Investment Services, Inc. has a long history of regulatory issues, investor complaints, and supervisory failures. The firm, which operates...
October 11, 2025

Denver Adviser Ian Gregory Bell Sentenced for $1.3 M Fraud Involving Pro Athletes

Former Denver investment adviser Ian Gregory Bell has been sentenced to 37 months in prison and ordered to pay over...
October 10, 2025

Lifemark Securities Corp Regulatory Issues and Complaints

Lifemark Securities Corp, a New York-based independent broker-dealer, has faced a growing list of regulatory problems, arbitration claims, and customer...
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