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You Got Spoofed!

Detecting and deterring manipulation remains a critical priority for FINRA. FINRA has amended its...

Whistleblower Tips Blowing Up

Since its inception in 2011, the SEC has received over 14,000 tips from individuals in all 50...
The Vulnerability of Baby Boomers

The Vulnerability of Baby Boomers

Unfortunately, the financial exploitation of senior investors is not uncommon. Senior investors...
Robo-advisers Aren’t Just For Millennials

Robo-advisers Aren’t Just For Millennials

Robo-advisers, as investment advisers, leverage advanced algorithms to create customized investment...
dol fiduciary rule

DOL Releases First FAQs for New Fiduciary Rule

The Department of Labor (“DOL”) has released 34 FAQs providing additional guidance...

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