Social Media

A “listening tour” commenced last August by then new FINRA president/CEO Robert Cook will bear fruit this year. Based on feedback that broker-dealers would like ...

The vast majority of investment advisers don’t seem sold on the promise of social media but a few report they’re seeing payoffs from their posts. ...

Over the past few years, we have noticed what seems to be an increase in the number of complaints regarding such frauds. One common characteristic ...

Srivastava, a software engineer turned Internet marketer, directed the scheme. At Srivastava’s request, his friend Kavuri took the lead in designing and marketing the Profits Paradise ...

FINRA has finally moved on a rule revision ultimately aimed at increasing investors’ awareness and access to BrokerCheck. On May 27, the SRO filed the ...

“Prime bank” scams have been around for some time and have cost victims billions of dollars worldwide. The schemes have garnered significant attention from regulators ...

Tampa-based Cummings Financial Organization launched its social-networking program in 2012 as part of a pilot engineered by its broker, Transamerica Financial Advisors. Its philosophy – ...

A lot of broker-dealers are wary of using social media as a promotional tool, either because they don’t understand the pertinent regulations or they’re scared ...

CFTC Orders Former CBOT Floor Broker Kent Woods to Pay $200,000 Penalty and Charges Introducing Broker Futures International LLC and Chief Operating Officer Amadeo Cerrone ...

By the time the SEC had focused its beam on cybersecurity, StephenSmetana had already taken action. The CCO at Angeles Investment Advisors ($1.7B in AUM) ...