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.
Concorde’s Inspired Healthcare Exposure Puts Broker-Dealer Due Diligence Back In Focus
Concorde Investment Services is facing scrutiny over bankrupt Inspired Healthcare deals, raising questions about private placements, DSTs and broker-dealer due diligence.