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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

September 14, 2025

Washington State Warns Investors About MMOCoin and ROYCoin Cryptocurrency Platforms

The Washington State Department of Financial Institutions (DFI) recently issued an alert after receiving complaints tied to two cryptocurrency platforms:...
September 13, 2025

Filing a Demand for Arbitration Against a Crypto Exchange With AAA

When a cryptocurrency exchange denies liability for stolen funds, arbitration is often the only legal path available. Many user agreements...
September 12, 2025

Webull Financial Fined $1.6 Million for FINRA Violations

Webull Financial LLC has agreed to a $1.6 million settlement with the Financial Industry Regulatory Authority (FINRA) over failures in...
September 10, 2025

12 Facts Every Investor Should Know About FINRA BrokerCheck

BrokerCheck by FINRA is one of the most important free tools available to investors. It allows you to see the...
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