How to Stay Out of Trouble
By Bryce SandersEven if you think you're not hurting anyone, the consequences of bending or breaking the rules can be serious.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 26, 2026
IRS Launches Web Page to Report FraudThe agency says it plans to streamline fraud reporting in the future.
February 26, 2026
SEC Bars Advisor Who Took $9.8M From Older ClientEjiro Ode Okuma used funds to build a luxury residence, purchase vehicles and buy vacation homes, the agency says.
February 26, 2026
Texas Says Vanguard Settles Collusion Suit for $29.5MThe lawsuit accused the asset manager of colluding to manipulate the energy market and reduce coal output.
February 26, 2026
Janus Bidding War Begins as Victory Capital Tops Trian OfferVictory's cash-and-stock proposal would value the combined company at about $16 billion.
February 26, 2026
Citi to Cut 141 Jobs in New JerseyThe laytoffs are part of the financial services company's ongoing headcount reductions.
February 26, 2026
Ritholtz to Launch Its First ETFThe actively managed Goaltender ETF will adjust stock exposure based on market trends.