• Market Watch: Broker and Advisor Complaints Investors Should Know About
  • SEC and FINRA Refocus on Fraud, Supervision, and Investor Harm: What Brokerage Customers Should Know
  • Market Watch: FINRA and DOJ Updates Highlight Structured Notes, Churning, Private Placements, and Ponzi Scheme Risks
  • Recent FINRA Disciplinary Actions: Broker and Advisor Misconduct Roundup (Mid-May 2026)
  • Gabriel Hynes, Formerly of Kestra and NYLife, Barred by FINRA After Failing to Comply With Investigation
  • Spartan Capital and James Pecoraro Accused of Excessive Trading and “Churning” in FINRA Complaint