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Exchange-traded products (ETPs) are under the spotlight once again as Stifel, Nicolaus & Co. has been fined $2.3 million for...
Cherry-picking is a deceitful practice in which investment advisers or brokers allocate profitable trades to themselves or favored clients and...
The case of William Shane Garrow—a former Senior Vice President at the Bank of Oklahoma—demonstrates the severe consequences when financial...
Robinhood has been fined $45 million by the Securities and Exchange Commission (SEC), drawing attention to the increasing regulatory scrutiny...
Cynthia Giovacchino, currently registered with Osaic Institutions, Inc. in Seymour, Connecticut, has been the subject of multiple customer disputes involving...
Summit Brokerage Services has faced serious allegations including unauthorized trading, churning, and breach of fiduciary duty. These complaints reflect deeper...
Investors who purchased B. Riley baby bonds have experienced steep declines in market value—ranging from 40% to 75%—and are now...
Since 2022, former Truist Investment Services broker T. Sloan Thompson has been accused of steering clients—many of them risk-averse retirees—into...