Brokers

 Commentary, news and links of interest to financial advisers.

securities whistleblower
Brokers Compliance Whistleblower

Whistleblowers Need Lawyers

By Mark J. Astarita, Esq. Navigate the SEC whistleblower process with our comprehensive guide. Learn how to report financial misconduct confidently and protect your identity. A detailed walkthrough ensures you understand each stage, empowering you to play a crucial role in maintaining integrity in the financial sector. The SEC whistleblower […]

Tips for a successful securities mediation
Arbitration Brokers Investors

Tips for a Successful Securities Mediation

Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities industry. It is a quicker and more cost-effective alternative to traditional court proceedings. With increasing frequency, investors and advisors are turning to mediation to make the process even more effective. Mediation is […]

Brokers Investors

Issues with Self-Directed IRAs

Self-Directed IRAs: A Gateway to Financial Empowerment? Many investors believe that using a self-directed IRA will give them greater control over their retirement savings and greater potential profits. As financial professionals are aware, unlike traditional IRAs, self-directed IRAs empower account holders to diversify their investment portfolios by venturing beyond the […]

2025 Amendments to Form PF
Brokers Enforcement Investors News

SEC Charges Eight Social Media Influencers in $100 Million Stock Manipulation Scheme Promoted on Discord and Twitter

The Securities and Exchange Commission today announced charges against eight individuals in a $100 million securities fraud scheme in which they used the social media platforms Twitter and Discord to manipulate exchange-traded stocks. According to the SEC, since at least January 2020, seven of the defendants promoted themselves as successful […]