FINRA Orders Record-High Financial Penalty Against Popular Stock-Trading App,...
On June 30, 2021, FINRA ordered an approximately $70 Million financial penalty against Robinhood Financial LLC, the highest such penalty ever levied by the regulatory organization.[1] Through its...
View ArticleAs Margin Debt Reaches Record-Highs, Does Market Downturn Loom?
Margin debt levels within the market are on a meteoric rise, with June 2021 finishing out at a record-high $882 Billion. [1] But such an intense rise in margin debt may not be much cause to celebrate;...
View ArticleBlueprint for SEC Climate Risk and ESG Disclosure Regulation Emerges
As the popularity of environmental, social, and governance (ESG) investing booms, the SEC continues to make its support clear. In fact, this past Wednesday, July 28th, SEC Chair Gary Gensler spoke at...
View ArticleRetail Investor Beware: EV Companies Face Securities Fraud Scrutiny
The recent announcement of securities fraud charges against Trevor Milton, the former CEO of Nikola Corporation, may prove to be the first in a line of similar cases involving electric vehicle (“EV”)...
View ArticleSEC Report Weighs in on January Meme Stock Frenzy
Last week, the Securities and Exchange Commission (“SEC”) released its long-awaited report formally debriefing the events that transpired during the January and February 2021 meme stock craze. The...
View ArticleBoiler Room Scheme Defrauds Victims of More Than $8.4 Million
Early this month, the United States Department of Justice (DOJ) announced the indictment of five defendants, each of whom have been charged in connection with an $8.4 million “boiler room” and money...
View ArticleThree Simple Methods for Protecting Your Investments
As the familiar adage goes, the higher the risk, the higher the reward. Of course, when it comes to investment strategies, risk is often one characteristic around which you can make informed decisions...
View ArticleArtificial Intelligence Expanding Impact on Investing
Artificial Intelligence (AI), as it develops capabilities far beyond ‘program trading’ has the potential to greatly impact the world of investing in the stock market. In the past decade, technology has...
View ArticleMargin Accounts and Investors
Margin accounts are a popular tool used by investors to amplify their trading power. However, margin accounts also come with increased risk, and it’s important for investors, particularly senior...
View ArticleAre You Planning for Retirement or Are You Already Retired? Potential...
Whether you are in retirement or are planning for retirement, you may consider working with a Registered Investment Adviser (RIA) to manage your retirement assets. RIAs offer professional financial...
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