Farther Recruited 27 Advisors. Raymond James Won $300M Through A Different Growth Machine.
FSI, IRI and NAIFA pushed back on New Jersey’s contractor proposal. The final rule changed in two important areas, but advisors still lack an exemption.
A High-Yield Muni Fund Blew Up. The Bigger Question Is Who Should Have Seen The Risk.
Easterly ROCMuni lost 67.7% in 2025 and entered liquidation. Investor claims now test product review, concentration and Reg BI supervision.
James Walesa Disclosed His Outside Business. FINRA Still Saw A Bigger Question.
FINRA’s James Walesa case shows how outside businesses, private investments, client complaints and broker-dealer supervision can collide.
James Walesa Was Barred. The Bigger Story Is What FINRA Could Not Examine.
FINRA barred ex-Arkadios and Triad broker James Walesa after he failed to cooperate with an investigation into private investments.