This Market Watch roundup highlights recent broker and advisor complaints involving firms such as Morgan Stanley, Merrill Lynch, LPL Financial, Ameriprise, J.P. Morgan Securities, Edward Jones, Osaic Wealth, Aegis Capital, and others.

Recent SEC and FINRA guidance highlights renewed regulatory focus on fraud, investor harm, broker-dealer supervision, AML controls, Reg BI, and private placement due diligence.

StraightPath Venture Partners founders Michael Castillero, Brian Martinsen, and Francine Lanaia were sentenced in a major pre-IPO investment fraud case involving hidden markups, undisclosed fees, barred securities industry participants, and investor restitution.

Goldman Sachs agreed to pay $500 million to settle a shareholder class action tied to the 1MDB scandal. The lawsuit alleged that Goldman misled investors about its role in 1MDB and its risk controls, raising important issues for securities fraud litigation and shareholder recovery.