FINRA BrokerCheck records reveal a significant pending customer dispute involving William Brian Candler (CRD #2802438), a financial professional dually registered with JCC Capital Markets, LLC and Cabin Securities, Inc. in Overland Park, Kansas. In a claim filed recently, investors are seeking $3.4 million in damages. The dispute centers on a Regulation D (Reg D) private [...]
FINRA BrokerCheck records indicate a pending customer dispute involving Igor “Gary” Harlap (CRD #3125590), a registered representative with UBS Financial Services Inc. in Philadelphia, Pennsylvania. The claim, filed on December 30, 2025, marks a significant development for investors who worked with Mr. Harlap. The claimants allege that in 2025, Harlap improperly recommended a concentrated position [...]
If your investment accounts are shrinking, your advisor has gone quiet, or your portfolio feels like a ship sailing without a compass, you may be asking a critical question: Can I sue my financial advisor? Yes, under the right circumstances. Investment losses alone are not grounds for a claim—markets rise and fall. However, when losses [...]
In a recent enforcement action, the Financial Industry Regulatory Authority (FINRA) sanctioned a broker-dealer for violations tied to Regulation Best Interest (Reg BI), the federal standard requiring brokers to act in the best interests of retail investors. The case illustrates a recurring theme in regulatory enforcement: when supervision weakens, investor risk rises. According to public [...]
Regulators do not suspend four-decade veterans lightly. When they do, it commonly signals a failure to adapt to modern investor safeguard standards. A recent enforcement action by the Financial Industry Regulatory Authority (FINRA) highlights a costly trend: long-tenured advisors using outdated commission structures that violate Regulation Best Interest (Reg BI). The Enforcement Action According to [...]
A recent disciplinary action by the Financial Industry Regulatory Authority (FINRA) has resulted in sanctions against Taglich Brothers Inc. (CRD #29102) for violations of Regulation Best Interest (Reg BI), Form CRS requirements, and supervisory control obligations. The settlement shows the critical importance of transparency, conflict management, and firm supervision in protecting retail investors. According to [...]
The Financial Industry Regulatory Authority (FINRA) has barred former securities representative Jeyakumar Nadarajah (CRD #5666532) from associating with any FINRA member firm in all capacities after he failed to fully comply with a request for testimony during a regulatory investigation. This action highlights the importance of full cooperation with FINRA Rule 8210 requests, which require [...]
A recent disciplinary action by the Financial Industry Regulatory Authority (FINRA) has placed Arkadios Capital, LLC (CRD #282710) under regulatory scrutiny for supervisory failures tied to the recommendation of complex exchange-traded funds (ETFs). The settlement, resolved through a Letter of Acceptance, Waiver, and Consent (AWC), highlights the critical nature of Regulation Best Interest (Reg BI) [...]
The collapse of a Ponzi scheme is a devastating event that blindsides investors, often leaving them facing the loss of their life savings. These schemes frequently appear legitimate at the outset, marketed as sophisticated or exclusive investment opportunities backed by professional-looking documentation and trusted referrals. When the “house of cards” falls, the initial shock is [...]
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