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| Sep 30, 2026 | INVESTOR ALERT: Apertum Holding Ltd. | The Utah Division of Securities (Division) is issuing a warning regarding Apertum.io, DAO1, and their associated products offered by Apertum Holding Ltd. The entity is not registered to conduct business in Utah and holds no securities filin... |
| Aug 21, 2026 | New MSRS Series: Protecting You and Your Finances | MSRS is starting a monthly educational series about cybersecurity and fraud awareness. In this series, we will share information, tools, and best practices to help protect you and your finances. August 2026: Financial and Investment Fraud
F... |
| Aug 15, 2026 | NRIA Ponzi Scheme Used Investor Funds to Pay Firms That Hid Its Shadow CEO’s Fraud Record | By Adrian Parham
Published: Aug 15 2026, 11:19 AM EDT
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| Aug 14, 2026 | INVESTOR ALERT: Unauthorized Impersonation of North Capital Private Securities Corporation | The Utah Division of Securities issues this alert to warn investors about an active imposter scheme targeting the public. Referrals to the Utah Division of Securities and the FBI claim impostors established an entity called North Capital Ma... |
| Jun 16, 2026 | AI Fraud Cost the World $442 Billion Last Year: Voice Clones Now Fool Even Experts | By Richard L. Wells
Published: Jun 16 2026, 08:45 AM EDT
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| Apr 17, 2026 | CONSUMER ALERT: PUBLIC WARNED ABOUT INVESTMENT SCAMS ON META PLATFORMS | STATE OF HAWAIʻI
KA MOKU ʻĀINA O HAWAIʻI
JOSH GREEN, M.D.
GOVERNOR
KE KIAʻĀINA
DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS
KA ʻOIHANA PILI KĀLEPA
NADINE Y. ANDO
DIRECTOR
KA LUNA HOʻOKELE
OFFICE OF CONSUMER PROTECTION
MANA MORIARTY
EXECUTIVE... |
| Mar 18, 2026 | North Capital Stickers its Institutional Government Money Market Fund to Support Stable Coin Issuers | NCGXX
North Capital Logo on Blue
North Capital has amended the Prospectus of NCGXX, clarifying the Fund’s eligibility under the GENIUS Act to back stablecoins.
Strong performance, coupled with same day liquidity, we believe makes NCGXX an a... |
| Mar 9, 2026 | Moomoo Named Best Global Investment Platform by Sensor Tower, Capping a Year of Robust Growth and Innovation | JERSEY CITY, N.J., March 9, 2026 /PRNewswire/ -- Moomoo, the award-winning, one-stop investment platform, has been named the Best Global Investment Platform by Sensor Tower in its 2025 APAC Awards. This distinguished honor, which recognizes... |
| Mar 4, 2026 | Butterpie Holdings Launches Series A Rule 506(c) Offering to Build a Portfolio of Creator-Led Brands | CEO Paul Shrater: 20 Years Manufacturing & Distribution of Celebrity-Creator Brands
The Creator Journey (Illustrative Overview - Subject to Change)
Vertically integrated venture studio opens accredited investor access to a portfolio of ... |
| Feb 12, 2026 | Investors in AG Morgan Funds Sold Between 2014 and 2018 May Have Legal Recovery Options | Contact the Law Firm of KlaymanToskes for a Free and Confidential Consultation to Discuss Pursuing a Potential Recovery of Your Losses NEW YORK, NY, UNITED STATES, February 12, 2026 /EINPresswire.com/ -- National investment loss and securit... |
| Feb 11, 2026 | Attention Marat Likhtenstein Customers: KlaymanToskes Investigates Investor Losses from Promissory Notes | If You Suffered Investment Losses with Marat Likhtenstein, Contact KlaymanToskes To Discuss Potential Recovery Options BROOKLYN, NY, UNITED STATES, February 11, 2026 /EINPresswire.com/ -- National investment loss and securities law firm Kla... |
| Feb 4, 2026 | NORTH CAPITAL LAUNCHES TOKENIZATION SUBSIDIARY | North Capital Token Services LLC
North Capital will offer technology and services for tokenization of debt, equities, and private fund interests, and on-chain credential certification.
The erstwhile benefits of being public — including stre... |
| Oct 2, 2025 | CLERMONT, FL INVESTORS: BROKER ROBERT DECHICK SUBJECT OF GWG INVESTOR LAWSUIT | Contact the Law Firm of KlaymanToskes for a Free and Confidential Consultation to Discuss Pursuing a Potential Recovery of Your Losses CLERMONT, FL, UNITED STATES, October 2, 2025 /EINPresswire.com/ -- National investment loss and securitie... |
| Oct 2, 2025 | IMPORTANT NOTICE TO AUSTIN DUTTON CUSTOMERS WHO SUFFERED UNITED DEVELOPMENT FUNDING LOSSES | If You Suffered Losses With Financial Advisor Austin Dutton Please Contact the Law Firm of KlaymanToskes PHILADELPHIA, PA, UNITED STATES, October 2, 2025 /EINPresswire.com/ -- National investment loss and securities attorneys KlaymanToskes ... |
| Oct 2, 2025 | NEWBRIDGE BROKER JOHN FORRESTER SUBJECT OF ANOTHER GWG INVESTOR LAWSUIT | Contact the Law Firm of KlaymanToskes for a Free and Confidential Consultation to Discuss Pursuing a Potential Recovery of Your Losses BOCA RATON, FL, UNITED STATES, October 2, 2025 /EINPresswire.com/ -- National investment loss and securit... |
| Sep 22, 2025 | These are the red flags to watch out for when picking a financial advisor, experts say | Finding the right advisor is key to your long-term economic wellbeing.
Before initiating what could be one of your most important relationships of your financial life, here are four warning signs to watch out for, according to experts in th... |
| Sep 2, 2025 | IMPORTANT NOTICE TO CMCT INVESTORS THAT SUFFERED LOSSES AT CROWN CAPITAL SECURITIES | If You Suffered Losses With Financial Advisor Dennis Haywood, Please Contact the Law Firm of KlaymanToske
Creative Media & Community Trust (NASDAQ:CMCT)LAND O’LAKES, FL, UNITED STATES, September 2, 2025 /EINPresswire.com/ -- National in... |
| Aug 29, 2025 | IMPORTANT NOTICE TO ROBERT HAROLD SWEET CUSTOMERS WHO SUFFERED INVESTMENT LOSSES | If You Suffered Losses With Financial Advisor Robert Harold Sweet, Please Contact the Law Firm of KlaymanToskes EL PASO, TX, UNITED STATES, August 29, 2025 /EINPresswire.com/ -- National investment loss and securities attorneys KlaymanToske... |
| Aug 29, 2025 | IMPORTANT NOTICE TO CUSTOMERS OF DONALD HANCOCK AND MOLONEY SECURITIES WHO SUFFERED LOSSES | If You Suffered Losses With Financial Advisor Donald Hancock at Moloney Securities, Please Contact the Law Firm of KlaymanToskes MANCHESTER, MO, UNITED STATES, August 29, 2025 /EINPresswire.com/ -- National investment loss and securities at... |
| Aug 29, 2025 | IMPORTANT NOTICE TO AUSTIN DUTTON CUSTOMERS WHO SUFFERED INVESTMENT LOSSES | If You Suffered Losses With Financial Advisor Austin Dutton Please Contact the Law Firm of KlaymanToskes PHILADELPHIA, PA, UNITED STATES, August 29, 2025 /EINPresswire.com/ -- National investment loss and securities attorneys KlaymanToskes ... |
| Aug 11, 2025 | Attorney General James Announces Arrest of Florida Man for Investment Fraud Scheme Targeting the Haitian Community | NEW YORK – New York Attorney General Letitia James today announced the arrest and indictment of Florida resident Marc Henry Menard, formerly of Mineola, New York, for allegedly operating a three-year securities fraud scheme that targeted th... |
| Feb 18, 2025 | MLG Capital Launches $400M Private Fund VII | BROOKFIELD, WI, UNITED STATES, February 18, 2025 /EINPresswire.com/ -- MLG Capital, a national leader in diversified private real estate investments, announced today the launch of MLG Private Fund VII (“Fund VII”), the seventh fund in the f... |
| Jun 17, 2024 | TDCI Securities Reminds Consumers to Learn The Red Flags of “Imposter Scams” | NASHVILLE - The Tennessee Department of Commerce & Insurance’s (“TDCI”) Securities Division is warning Tennessee consumers about the growing prevalence of so-called “imposter scams” and sharing tips on how investors can protect themselv... |
| Dec 20, 2023 | SOMA.finance Announces Launch of Digital Asset Trading Platform with First Product SOMA Starter | New York, USA, December 20th, 2023, Chainwire
Launch Coincides with $SOMA Token Sale in Partnership with CF Portal Akemona
SOMA Finance, Incorporated (“SOMA” & “SOMA.finance”), the joint venture between MANTRA and Tritaurian Capital, ... |
| Dec 8, 2023 | Voya Financial Customer Seeks $100k Recovery for FS Energy and Power Fund Investment Losses in FINRA Arbitration Claim | Did you Suffer Investment Losses in Franklin Square Energy and Power Fund (FSEN)? Contact KlaymanToskes COLUMBIA, SC, USA, December 8, 2023 /EINPresswire.com/ -- National investment loss attorneys KlaymanToskes encourages customers of Voya ... |
| Jul 5, 2023 | CUPERTINO, CA INVESTOR ALERT - GWG L Bond Losses with Peter Po: Contact KlaymanToskes | KlaymanToskes Has GWG L Bondholder Recovery Options NEW YORK, NEW YORK, UNITED STATES, July 5, 2023/EINPresswire.com/ -- National investment loss lawyers KlaymanToskes encourages current and former customers of Peter Po who suffered signifi... |
| Jun 22, 2023 | INVESTOR ALERT: Gilbert Russell Conrad Customers - KlaymanToskes Has Recovery Options | KlaymanToskes Seeks $5M Recovery for Customer of Gilbert Conrad NEW YORK, NEW YORK, USA, June 22, 2023/EINPresswire.com/ -- National investment loss attorneys KlaymanToskes encourages former and current customers of broker Gilbert Russell C... |
| Jun 10, 2023 | A Goldman Sachs star jumps to hedge fund giant Citadel as demand for inflation traders burns red hot | Inflation trading is on fire MIKE NELSON/AFP via Getty Images This story is available exclusively to Insider subscribers. Become an Insider and start reading now.
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Goldman Sachs just lost one of its star traders to billionaire Ken... |
| May 26, 2023 | Barred Broker Cathie Ann Joughin: KlaymanToskes Seeks Up to $5M Recovery For Elder Abuse Claim | Notice to Former Wells Fargo and Ameriprise Customers of Cathie Joughin: Contact KlaymanToskes NEW YORK, NEW YORK, UNITED STATES, May 26, 2023/EINPresswire.com/ -- National investment fraud lawyers KlaymanToskes encourages customers of form... |
| Apr 18, 2023 | Hiring a retirement advisor might be a good idea if you're within 10 years of leaving work | A retirement financial advisor can help you asses how much you should be saving and where you should invest your funds. monkeybusinessimages/iStock/Getty Images Plus
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| Mar 23, 2023 | Darryl Cohen Customers: KlaymanToskes Pursues $1 Million Recovery Following Cohen’s Arrest Over Pro-Athlete Fraud Scheme | Barred Morgan Stanley Broker Darryl M. Cohen Arrested for Fraud LOS ANGELES, CA, US, March 23, 2023/EINPresswire.com/ -- National investment fraud lawyers KlaymanToskes announces the filing of FINRA arbitration case no. 23-00709 on the beha... |
| Feb 17, 2023 | Investigation of SilverRock Wealth Partners and Derek Copeland | MDF Law PLLC
Former broker managed over $100 million for MLB and NFL stars CHARLOTTE, NORTH CAROLINA, USA, February 17, 2023 /EINPresswire.com/ -- MDF Law announces an investigation into the termination for cause of Derek Copeland (CRD #434... |
| Dec 19, 2022 | What Can I Do To Retire Confidently During Market Uncertainty? | While significant market downturns can cause distress, you may find comfort in knowing that just a couple years of patience and spending adjustments could go a long way toward your overall retirement success. |
| Nov 23, 2022 | Attention HJ Sims Customers: Missed Bond Payments? Contact Law Firm of KlaymanToskes | The Law Firm of KlaymanToskes Investigates HJ Sims For Bond Offerings NEW YORK, NY, US, November 23, 2022 /EINPresswire.com/ -- National investment fraud lawyers KlaymanToskes announces their investigation of Herbert J. Sims & Co. Inc. ... |
| Oct 27, 2022 | SPAC Investors: KlaymanToskes Seeks $776,000 In Damages from American Portfolios and Nabil Bouab | The Law Firm of KlaymanToskes Seeks Recovery for Investment Losses
SoFi Technologies Inc (NASDAQ:SOFI)NEW YORK, NY, US, October 27, 2022 /EINPresswire.com/ -- The law firm of KlaymanToskes is representing a New Jersey couple seeking $776,00... |
| Oct 5, 2022 | TDCI Joins NASAA in Cautioning Investors About Investment Scams in the Metaverse | NASHVILLE – The Tennessee Department of Commerce & Insurance’s (“TDCI”) Division of Securities is joining the North American Securities Administrators Association (“NASAA”) to share an Informed Investor Advisory cautioning investors to ... |
| Sep 30, 2022 | LA PERSIAN COMMUNITY: Broker Tony Barouti Pending 14 Lawsuits and Counting | KlaymanToskes Represents Members of the Persian Community in FINRA Cases Against Emerson Equity and Tony Barouti
GWG Holdings, Inc. (OTCMKTS:GWGHQ)LOS ANGELES, CA, US, September 30, 2022 /EINPresswire.com/ -- A 75-year-old divorcee has file... |
| Sep 27, 2022 | TDCI’s Securities Division Reminds Consumers to Use Caution when Taking Advice from “Finfluencers” | NASHVILLE -- The Tennessee Department of Commerce & Insurance’s (“TDCI”) Division of Securities is joining the North American Securities Administrators Association (“NASAA”) to recommend that investors use caution when considering advic... |
| Sep 22, 2022 | Is It Smart To Keep Money Invested In Equities During Market Volatility? | Instead of taking money out of the stock market, sticking to a long-term plan is generally the best move. |
| Sep 13, 2022 | FINRA: The organization that regulates broker-dealers and protects investors | FINRA also provides educational resources and a space for investors to file complaints about brokers if needed. Finra; Alyssa Powell/Insider
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| Sep 6, 2022 | Law Firm Announces Investigation into Seven FINRA Brokers Fired for Cause | MDF Law PLLC
MDF Law encourages investors to immediately contact their law office to discuss any of these individuals.
Call me at 800-767-8040 and let's talk about your case. I exclusively represent investors in FINRA arbitration cases agai... |
| Aug 25, 2022 | Antoine Souma Sued For $1.4 Million For Misconduct at Galliott Capital Advisors and Insigneo Securities | KlaymanToskes Files FINRA Arbitration Claim on Behalf of Retired M.D. BEVERLY HILLS, CA, US, August 25, 2022 /EINPresswire.com/ -- A retired physician who immigrated to the US as a teen, has filed a $1.4 million FINRA arbitration claim (Cas... |
| Aug 18, 2022 | Widow Who Hired Money Concepts Capital Suffers $250k in Losses in GPB and Franklin BSP Realty Trust | KlaymanToskes Files FINRA Arbitration Claim to Recover Investor Losses PHILADELPHIA, PA, US, August 18, 2022 /EINPresswire.com/ -- KlaymanToskes (“KT”) recently filed a $250k FINRA claim (Case No. 22-01645) against Money Concepts Capital Co... |
| Jun 16, 2022 | Do High-Net-Worth Investors Face A Greater Risk Of Investment Fraud? | High-net-worth investors could be a more likely target for investment fraud. getty |
| Jun 3, 2022 | Complaint Filed Against Morgan Stanley Over Shawn Good’s Theft of Funds | MDF Law PLLC
Former Broker is Accused of Misappropriating Funds for His Personal Use
If you had a Morgan Stanley account and your broker stole from you, you may be able to file an arbitration claim against for money damages. Call me to lear... |
| May 31, 2022 | Complaint Filed Against National Securities in The Villages, Florida Over Mark Cline’s Sale of GWG L Bonds | MDF Law PLLC
Investor Alleges National Securities' Due Diligence of GWG Holdings was Negligent
GWG L Bonds were heavily marketed in The Villages, Florida through local newspaper advertisements and "free" retirement workshops. Cont... |
| May 29, 2022 | Complaint Filed in Sarasota Against Centaurus Financial Over Marc Korsch’s Sale of GWG L Bonds | Pictured: Attorney Marc Fitapelli, MDF Law
FINRA Arbitration Filing in Florida Alleges Centaurus Financial was Negligent in Approving GWG for Sale
Call me at (212) 203-9300 to learn why so many L bond holders are trusting us with their case... |
| Apr 28, 2022 | William Pitre Installed as the New CEO of Coastal Capital Acquisitions Corp. | William Pitre Appointed the Chief Executive Officer of Coastal Capital by Panthera Capital Holdings who acquired CCAJ's Parent Company ERAA
Coastal Capital Acquisition Corp. (OTCMKTS:CCAJ)
JACKSONVILLE, FLORIDA, UNITED STATES, April 28, 202... |
| Sep 15, 2021 | Coinbase Applies to List Crypto Futures Products | Coinbase has taken the first step to try to list crypto futures products.
The San Francisco-based crypto exchange filed to become a member of the National Futures Association and register as a futures commission merchant (FCM), according to... |
| Sep 14, 2021 | Exodus : Digital Security Begins Trading on tZERO ATS Platform as EXOD | OMAHA, Neb., Sept. 14, 2021 /PRNewswire/ -- Exodus Movement, Inc. (Exodus Wallet: EXOD), the leading non-custodial cryptocurrency software platform, today announced that its Class A common stock has begun trading on tZERO ATS, the regulated... |
| Sep 14, 2021 | Exodus Digital Security Begins Trading on tZERO ATS Platform as EXOD | |
| Aug 27, 2021 | ‘Active ETFs’: Inside the booming (and potentially profitable) new investing trend | Welcome to The Dividend, Fortune’s new weekly investing column, available exclusively to our subscribers. Each week we’ll dig into an area of the market that’s making headlines and help you figure out what deserves a place in your portfolio... |
| Jul 29, 2021 | What is a broker? What to know about the intermediary that helps investors buy stocks | In addition to executing orders, brokers also provide a range of educational resources and investing advice. JGalione/Getty
In the world of investing, a broker is a company or individual that acts as an intermediary between you and a securi... |
| Jul 29, 2021 | What is a broker? What to know about the intermediary that helps investors buy stocks | Advertisement
In addition to executing orders, brokers also provide a range of educational resources and investing advice. JGalione/Getty
In the world of investing, a broker is a company or individual that acts as an intermediary between yo... |
| Jul 29, 2021 | What is a broker? What to know about the intermediary that helps investors buy stocks | In addition to executing orders, brokers also provide a range of educational resources and investing advice. JGalione/Getty
In the world of investing, a broker is a company or individual that acts as an intermediary between you and a securi... |
| Jul 23, 2021 | FINRA: The organization that regulates broker-dealers and protects investors | FINRA also provides educational resources and a space for investors to file complaints about brokers if needed. Finra; Alyssa Powell/Insider
The Financial Industry Regulatory Authority (FINRA) oversees US-based broker-dealer firms, register... |
| Jul 23, 2021 | FINRA: The organization that regulates broker-dealers and protects investors | The Financial Industry Regulatory Authority (FINRA) oversees US-based broker-dealer firms, registered brokers, and market dealings.
Brokers must be registered with FINRA in order to trade securities with the public.
FINRA plays a big role i... |
| Jul 19, 2021 | American Films : Announces Its Plans to Trade on the tZERO ATS | NEW BOSTON, N.H., July 19, 2021 (GLOBE NEWSWIRE) -- American Films, Inc. (Pink Sheets: AMFL), an owner, developer, and acquirer of intellectual property in the film, music, and media industries, announced today its plans to trade its common... |
| Jul 6, 2021 | How To Enhance Your Retirement Plan With Cash Value Life Insurance | A popular retirement planning product, particularly for higher tax bracket individuals, is cash value life insurance. In addition to providing liquidity in the event of an unexpected death, the cash values represent additional lifetime prot... |
| Apr 29, 2021 | Crypto Trading Business Apifiny Snags FINRA Broker-Dealer License | Cryptocurrency-focused financial firm Apifiny has been granted a broker-dealer license from the U.S. Financial Industry Regulatory Authority (FINRA), according to an announcement Thursday.
Apifiny Prime, the trading arm of Apifiny (pronounc... |
| Apr 28, 2021 | Engineered Tax Services Partners with tZERO to Provide Clients Secondary Trading Opportunities | tZERO CEO Saum Noursalehi stated, “Through our partnership with ETS, we are excited to connect with sophisticated, private companies that want to modernize their securities through tokenization and provide investors access and liquidity opt... |
| Apr 21, 2021 | OVERSTOCK.COM, INC.
Overstock com : TZERO Signs Agreement with Cap Table and Valuation Software Company Eqvista; Partnership Plans to Bring Liquidity to Eqvista's Network of 3,500+ Seed-Stage to Pre-IPO Companies | NEW YORK- tZERO, a leader in blockchain innovation and liquidity for digital assets, announced today that it has signed an agreement with Eqvista, an integrated, cloud-based equity management platform with over 3,500 issuers ranging from se... |
| Mar 31, 2021 | Crypto Firm Uphold Gets US OK to Buy Broker-Dealer JNK Securities | Crypto startup Uphold has been given the green light by a U.S. financial regulator to acquire a broker-dealer firm and begin offering licensed securities.
The approval by the Financial Industry Regulatory Authority (FINRA) paves the way for... |
| Dec 14, 2020 | Five Signs You Are Working With The Wrong Financial Advisor | As a financial planner, I’ve seen way too many clients who found my firm after being burned by another advisor. |
| Jun 3, 2020 | Инвестируем в рынок США: пошаговый алгоритм для российского инвестора | В этой статье я хочу поделиться своим личным опытом инвестирования в американский рынок ценных бумаг. Я самостоятельно прошел весь путь от выбора брокера до первых сделок. В процессе мне пришлось искать информацию в разрозненных источниках,... |
| Dec 12, 2019 | TokenSoft Scores Transfer Agent Registration to Build 'Automated Investment Bank' | UPDATE (Dec. 13, 2019, 21:10 UTC): The SEC has granted TokenSoft's registration, filing a "notice of effectiveness" on Friday.
UPDATE (Dec. 12, 2019, 22:50 UTC): This article has been updated to clarify the status of TokenSoft's r... |
| Dec 9, 2019 | UK Digital Security Platform Smartlands Will Tokenize Own Equity. Offering to be Sold in the US via Broker Dealer | UK based Smartlands will be tokenizing its own equity selling a 3.5% equity stake in the platform, according to a note from the company. Smartlands is a digital security issuance platform that claimed earlier this year to have tokenized the... |
| Nov 26, 2019 | Tokenized Real Estate Falters as Another Hyped Deal Falls Apart | The Takeaway:
Removing the friction from real estate deals with tokens was expected to instantly attract institutional money and liquidity, but things are moving slowly.
A high-profile joint venture between technology startup Fluidity and b... |
| Oct 31, 2019 | Longtime Bitcoin Advocate Launches Broker-Dealer for Crypto Firms | Longtime bitcoin advocate Bruce Fenton has created a new broker-dealer for digital asset firms and financial advisors called Watchdog Capital.
The firm is registered with the U.S. Securities and Exchange Commission and a member of the Finan... |
| Oct 11, 2019 | UK based Smartlands Signs Agreement with US based Broker Dealer IIP | Smartlands, “a digital platform for crowdfunding investments via the issuance of digital shares in the form of security tokens,” has signed a “Cooperative Agreement with IIP Securities – a US-based broker-dealer, according to a company rele... |
| Sep 27, 2019 | Harbor's Regulatory Wait Ends as FINRA Awards Broker-Dealer License | Harbor Square Investments, a subsidiary of tokenized securities platform Harbor, has received a broker-dealer license from the Financial Industry Regulatory Authority (FINRA), company executives told CoinDesk on Friday.
The move breaks a le... |
| Aug 27, 2019 | Column: How to find a good financial planner | Dear Savvy Senior: Can you recommend some tips on finding and choosing a good financial planner? My wife and I are both in our late 50s and would like to get some professional advisement to help us better prepare for our retirement years. —... |
| Aug 20, 2019 | It Took 18 Months, But This Blockchain Securities Firm Got the Nod From FINRA | Wall Street's self-regulatory organization (SRO) has green-lit a new blockchain-powered securities trading platform.
The Financial Industry Regulatory Authority (FINRA) has approved the membership application of IOI Capital and Markets, whi... |
| Aug 5, 2019 | Family finances: When to fire your adviser | Breaking up with a financial adviser can be difficult, particularly if you’ve spent years sharing not only your financial information but also your triumphs, failures, hopes and fears.
But when you’re no longer getting what you need, it’s t... |
| May 16, 2019 | Deutsche Bank has hired a new credit-trading exec, filling a void after it dismissed a rising star earlier this year | Associated Press
Deutsche Bank has hired a new credit-trading exec in the US.
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Deutsche Bank has hired a new credit-trading exec in the US.
Sonny Kathpalia, who left Barclays in 2018, is joining the company running credit-swaps... |
| May 7, 2019 | Another senior JPMorgan equities trader has bolted for Citigroup to run a business in prime finance | Larry French/AP
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A senior equities trader has left JPMorgan for Citigroup, at least the second such exec to do so in the last nine months.
Jitendra Jaisinghani will be joining the bank to run its Delta One flow business in Nort... |
| Apr 16, 2019 | Houston-based investment platform expands capabilities for local deals | NextSeed, which launched in Houston four years ago as a crowdfunding online investment platform, has expanded its services to become a broker-dealer. The platform also rolled out a new website.
Now that NextSeed Securities LLC is a SEC-regi... |
| Mar 13, 2019 | Retirement: Ask lots of questions before buying an annuity | After years of declining sales, annuities are hot again.
Part of the reason for the resurgence is that rising interest rates are increasing annuity payouts. But much of the credit for the rebound goes to the demise last year of the fiduciar... |
| Feb 6, 2019 | Is ConsenSys Startup Token Foundry Dead or Doing Something Different? | Token Foundry set out last year to be the best platform for running initial coin offerings.
The website of the ConsenSys-incubated startup said as much until as recently as January 21. Then, over the next few days, it would articulate two m... |
| Jan 14, 2019 | Investing: Vetting a broker is harder than it looks | We spoke with Colleen Honigsberg, an assistant professor at Stanford Law School, where she studies corporate and securities law, about vetting a broker.
Q: Many investors use BrokerCheck.finra.org, a search tool managed by the Financial Ind... |
| Dec 19, 2018 | MUFG has hired a hedge-fund executive to run credit sales as the Japanese bank shakes up its US business | Kazuhiro Nogi/AFP/Getty Images
MUFG has been shaking up its US credit sales business.
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Mitsubishi UFJ Financial Group has hired hedge-fund executive John Karabelas to run fixed-income sales in the Americas.
Karabelas, a 25-year... |
| Dec 13, 2018 | STO Services Startup TokenSoft Acquires Stake in Regulated Broker-Dealer | STO technology platform TokenSoft is launching a regulated broker-dealer as part of its push to offer greater services to token issuers and startups.
The firm – which is known for assisting startups with token sale launches – announced the ... |
| Aug 5, 2018 | What The Demise Of The DOL Fiduciary Rule Means For You: 4 Questions To Ask Your Advisor Now | As a society, we embrace the idea that doctors and lawyers are required to act in their patients’ or clients’ best interests. Doctors violating the Hippocratic Oath face stiff penalties, including the potential to lose their license to prac... |
| Jul 12, 2018 | Citi has poached a quant trading exec from Credit Suisse as Wall Street's equity derivatives hiring binge continues | Matthias Hangst/Getty Images
Jeff Berton joins Citigroup as a quant and derivatives trading exec on its markets team.
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Citigroup has hired a quant trading and derivatives exec from Credit Suisse.
The bank has hired Jeff Berton ... |
| May 15, 2018 | Family finances: How to vet a financial adviser | Once you’ve decided to hire a financial adviser, the next step is to find the right one for you. It will take a little homework.
Start by interviewing a few advisers before you settle on one. Having conversations with the advisers will also... |
| Oct 9, 2017 | Why NFL players go broke, and what you can learn | Terrell Owens originally was famous for his many National Football League records and over-the-top touchdown celebrations. But he’s also famous for running through most of the $80 million he made during his 15-year career, thanks in part to... |
| Aug 4, 2017 | How to detect scams that could ruin your retirement | No one expects to fall victim to a financial scam, yet they happen with alarming frequency — and retirees are often in the crosshairs.
Nearly 1 in 5 Americans over 65 have been victimized by financial rip-offs, according to a 2016 study fro... |
| Whatever happens with TikTok, ‘finfluencers’ are here to stay. Here’s how to vet money advice on social media | TikTok came back online for users after Trump issued an executive order to pause the ban.
While the long-term fate of the app remains uncertain, “financial influencers” are directing followers to other platforms.
Here’s what consumers need ... |
| From loud budgeting to girl math, here’s what you should know before taking financial advice from TikTok | TikTok has become one of the most popular sources for financial tips and advice, particularly among Generation Z.
However, “finfluencer” content often lacks sufficient disclosures, which can make it hard to tell if the information you are g... |
| 27% of adults have taken bad money advice from TikTok — here’s why so many people get duped | Financial TikTok, also known as #FinTok, is now one of the most popular sources for financial information, tips and advice, particularly among Gen Z.
But more than a quarter of social media users have fallen for financial advice or informat... |
| Ex-Morgan Stanley advisor charged with defrauding NBA players out of millions | Darryl Cohen, a former Morgan Stanley financial advisor, was arrested and charged for allegedly defrauding multiple current and former NBA players.
Cohen is facing three different federal counts of fraud, which could amount to 20 years in p... |
| Verdict in fraud case of Theranos founder Elizabeth Holmes offers lessons for investors | Elizabeth Holmes was found guilty of four charges in her criminal fraud trial.
Theranos isn’t the only bad apple out there; it’s just the most recent example of one.
There are lessons that investors can learn from this latest case. |
| Как жителям СНГ купить акции компаний США? | (не финансовый совет)
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У некоторых читателей будет вопрос - зачем нам акции компаний США, ведь мы на пространстве СНГ (в бывшем СССР) живем, далеко от этих стран как экономически, так и географически?
Однако мог... |
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But advisors recommend scrutiny when seeking guidance online, especially when weighing major money deci... |
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Some telltale red flags for investors, such as a checkered disciplinary reco... |
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But with so many financial advisors and planners to choose from, it can be difficult to figure out how to pick the best one to help you manag... |
| As SEC charges first brokerage to run afoul of new investor protection rule, here's how to find a good financial advisor | It may seem daunting to find a good and trustworthy financial advisor or broker.
There are steps consumers seeking investment advice can take to protect themselves. |
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Criminals use social media, networking and other sites like Instagram, WhatsApp and LinkedIn to build trust and entice... |
