A Pump-And-Dump Attack And A Phishing Scam Put Advisor Cybersecurity On Alert
LPL and Ameriprise reported online attacks to Maine, showing how advisor account access, phishing and client data risk are converging.
Why Osaic’s Triad Arbitration Win Matters Beyond The $34M Claim
Triad Advisors, now tied to Osaic, won a major FINRA arbitration tied to ex-broker Jim Walesa and private investments.
Why Cetera’s AML Fine Matters Beyond The $1.1M Penalty
FINRA fined three Cetera firms $1.1M over AML, low-priced securities supervision and consolidated report failures.
A Broker Recruit’s Work History Just Cost Kovack Nearly $1M
Delaware fined Kovack Advisors nearly $1M over registration, supervision and recordkeeping failures tied to a broker recruit’s work history.
FINRA Is Warning Firms About AI. What About The Old Fraud Playbook?
FINRA’s 2026 report spotlights AI and cyber fraud, but GPB and GWG show why broker-dealer product supervision still needs attention.