Raymond James Hit With $125K Fine Over Fractional Shares
By Melanie WaddellThe firm failed to report approximately 2.56 million fractional share liquidations, according to FINRA.
August 18, 2026
SEC Proposes Some Registration Exemptions for Crypto OfferingsOfferings up to $5 million would be exempted for four years and offerings up to $75 million would be exempt for 12 months.
August 18, 2026
Dynasty Closed on Over $200M in Private Market FundsIndependent advisors "are hungry for differentiated private-market opportunities typically only available to the world's largest investors," said CEO Shirl Penney.
August 18, 2026
FINNY Launches 'Pay-as-You-Grow' Fee ModelEden Ovadia, the prospecting platform's CEO and co-founder, says the change was prompted by advisor feedback.
August 18, 2026
FINRA Suspends Rep for Forging Client Initials, SignatureMark J. Hudec initialed brokerage account opening forms and signed an advisory account form, an order states.
August 18, 2026
July CFP Exam Turnout Sets RecordThe CFP Board cheered the diversity and the number of women among the 3,621 test-takers.
August 17, 2026
Regulators Save Annuity Buyer Access to Issuer Risk-Based Capital ScoresThe NAIC has backed off from a proposal that could have hidden a key soundness indicator.
August 17, 2026
Carson Group Hires SVP of Business DevelopmentKevin Peterson previously served as senior vice president of sales at Osaic.