Regulation And Legislation

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FINRA fines second broker-dealer over misleading communication with clients about crypto
REGULATION AND LEGISLATION JUL 28, 2025
FINRA fines second broker-dealer over misleading communication with clients about crypto

TradeStation Securities' communications violated industry rules, including falling short on describing the risks involved in investing in volatile crypto assets.

By Bruce Kelly
Hulk Hogan’s $25M estate at stake with widow poised to claim 30% spousal share
PRACTICE MANAGEMENT JUL 28, 2025
Hulk Hogan’s $25M estate at stake with widow poised to claim 30% spousal share

Depending on the state of his will or trust, the former wrestling icon's assets could also face claims from creditors and his estranged daughter.

By Leo Almazora
Married retirees could be in for an $18,100 Social Security cut by 2032, CRFB says
RETIREMENT PLANNING JUL 25, 2025
Married retirees could be in for an $18,100 Social Security cut by 2032, CRFB says

A new analysis finds long-running fiscal woes coupled with impacts from the One Big Beautiful Bill Act stand to erode the major pillar for retirement income planning.

By Leo Almazora
SEC bars New Jersey advisor after $9.9M fraud against Gold Star families
REGULATION AND LEGISLATION JUL 25, 2025
SEC bars New Jersey advisor after $9.9M fraud against Gold Star families

Caz Craffy, whom the Department of Justice hit with a 12-year prison term last year for defrauding grieving military families, has been officially exiled from the securities agency.

By Leo Almazora
UBS Financial loses another investor lawsuit involving Tesla stock
REGULATION AND LEGISLATION JUL 25, 2025
UBS Financial loses another investor lawsuit involving Tesla stock

The customer's UBS financial advisor allegedly mishandled an options strategy called a collar, according to the client's attorney.

By Bruce Kelly
Trump's one big beautiful bill reshapes charitable giving for donors and advisors
RETIREMENT PLANNING JUL 25, 2025
Trump's one big beautiful bill reshapes charitable giving for donors and advisors

An expansion to a 2017 TCJA provision, a permanent increase to the standard deduction, and additional incentives for non-itemizers add new twists to the donate-or-wait decision.

By Leo Almazora
Trump says not necessary to fire Powell after getting Fed tour
REGULATION AND LEGISLATION JUL 25, 2025
Trump says not necessary to fire Powell after getting Fed tour

‘To do that is a big move, and I just don’t think it’s necessary,’ Trump says.

By Bloomberg
SEC: First Liberty misused fresh investor money in $140 million scheme
REGULATION AND LEGISLATION JUL 24, 2025
SEC: First Liberty misused fresh investor money in $140 million scheme

The SEC says First Liberty lured investors with high-yield promissory notes, then used fresh cash to cover defaults and interest owed to earlier investors.

By Matthew Sellers
SEC hits pause on Bitwise ETF offering broad crypto exposure
ALTERNATIVES JUL 24, 2025
SEC hits pause on Bitwise ETF offering broad crypto exposure

The agency's decision to stay the approval process just hours after signing off highlights ongoing ambiguity for new crypto-focused ETF offerings.

By Bloomberg
DOGE cuts risk bogging down push to implement Trump’s tax breaks
EQUITIES JUL 23, 2025
DOGE cuts risk bogging down push to implement Trump’s tax breaks

Staffing shortfalls, new policies, and increased demand for clarity create potential speed bumps for tax planning and compliance.

By Bloomberg
Morgan Stanley faces Finra probe on client vetting, WSJ says
REGULATION AND LEGISLATION JUL 23, 2025
Morgan Stanley faces Finra probe on client vetting, WSJ says

Focus is reportedly on a three year period from 2021-2024.

By Bloomberg
President Trump's trade deal with Japan sets new course for global economy
REGULATION AND LEGISLATION JUL 22, 2025
President Trump's trade deal with Japan sets new course for global economy

The new deal involves 15% tariffs and $550 billion in Japanese investments in the US.

By Andy Burt
Former California advisor indicted for alleged $9.5M Ponzi scheme
REGULATION AND LEGISLATION JUL 22, 2025
Former California advisor indicted for alleged $9.5M Ponzi scheme

The ex-Bay Area broker reportedly continued to peddle fake bond investments, promising rates of returns exceeding 20%, even after FINRA suspended his license in 2014.

By Leo Almazora
AI tops compliance concerns for RIAs, survey finds
PRACTICE MANAGEMENT JUL 22, 2025
AI tops compliance concerns for RIAs, survey finds

Predictive analytics, artificial intelligence, and cybersecurity are now high on compliance officers' lists as off-channel communications are relegated down the rankings.

By Leo Almazora
Options signal dollar strength is fading as risks pile up
REGULATION AND LEGISLATION JUL 22, 2025
Options signal dollar strength is fading as risks pile up

Renewed pressure could be ahead for the greenback.

By Bloomberg
SEC bars ex-broker who sold clients phony private equity fund
REGULATION AND LEGISLATION JUL 18, 2025
SEC bars ex-broker who sold clients phony private equity fund

Rajesh Markan earlier this year pleaded guilty to one count of criminal fraud related to his sale of fake investments to 10 clients totaling $2.9 million.

By Bruce Kelly
Chuck Roberts, ex-star at Stifel, barred from the securities industry
WIREHOUSES JUL 18, 2025
Chuck Roberts, ex-star at Stifel, barred from the securities industry

"The outcome is correct, but it's disappointing that FINRA had ample opportunity to investigate the merits of clients' allegations in these claims, including the testimony in the three investor arbitrations with hearings," Jeff Erez, a plaintiff's attorney representing a large portion of the Stifel clients, said.

By Bruce Kelly
SEC to weigh ‘innovation exception’ tied to crypto, Atkins says
REGULATION AND LEGISLATION JUL 18, 2025
SEC to weigh ‘innovation exception’ tied to crypto, Atkins says

Chair also praised the passage of stablecoin legislation this week.

By Bloomberg
Trump executive order set to ease path for private assets in 401(k)s, but hurdles remain
RETIREMENT PLANNING JUL 17, 2025
Trump executive order set to ease path for private assets in 401(k)s, but hurdles remain

A new PitchBook analysis unpacks sticking points relating to liquidity, costs, and litigation risk for would-be investors and plan sponsors.

By Leo Almazora
Trump raises pressure on Powell while calling firing 'unlikely'
REGULATION AND LEGISLATION JUL 17, 2025
Trump raises pressure on Powell while calling firing 'unlikely'

"Unless he has to leave for fraud".

By Bloomberg