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action by the Financial Industry Regulatory Authority (FINRA) highlights a costly trend: long-tenured advisors using outdated commission structures that violate Regulation Best Interest (Reg BI).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 [...]