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 [...]