Financial Advisors Beware: Fake SEC Emails Targeting the Industry
A phishing scam is targeting financial advisors by impersonating a senior SEC official, underscoring the ongoing risks of cybercrime within industry.
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Independent Advisors Shift Strategies Amid U.S. Market Volatility, Stay Optimistic About Growth Prospects
More than 60% of independent advisors express strong confidence in their ability to expand their practices despite bearish sentiments on US equities.
JPMorgan Tightens Restrictions on Junior Bankers’ Private Equity Recruiting
JPMorgan Chase ramped up crackdown on junior bankers pursuing private equity opportunities following through commitment to address conflicts.
SEC Files Charges Against Former Advisor For Alleged Ponzi Scheme
The Securities and Exchange Commission (SEC) has filed charges against former investment advisor Andrew Jacobus and two firms he controlled.
SEC Charges Former Marine Over Alleged Ponzi Scheme
Former Marine Faces SEC Fraud Charges Over Alleged $2 Million Ponzi Scheme
Fisher Investments Launches Fiduciary.com
Fisher Investments Launches Fiduciary.com™: A New Resource to Help Investors Better Understand the Wealth Management Industry
$100 Million in Fictitious Deductions Generated in Fraudulent Tax Scheme
A former Florida-based investment advisor has been sentenced to eight years in federal prison for operating a fraudulent tax scheme.