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The Latest Breaking News from Finra

7 Advisor Red Flags to Watch When Retirement Advice Involves AI or Crypto

Retirement planning has entered a flashy new era where artificial intelligence tools and cryptocurrency strategies often take center stage. Exciting promises about smarter investing and faster returns can sound impressive, especially when they come packaged in sleek dashboards or confident pitches. But retirement savings deserve careful protection, not high-pressure experiments…

The Free Financial Advisor

9 Warning Signs a Social Media Investment Group Is Really a Scam

Social media has changed almost everything, including the way people talk about money and investing. Legitimate investors, financial educators, and market enthusiasts share ideas online every day. However, scammers have also discovered that social media provides the perfect place to find potential victims.

The Free Financial Advisor

"Punch in the stomach after 20 years": How a JPMorgan employee won $4 million after being fired over a $600 food platter

A former JPMorgan broker, fired over a $642.50 deli bill for a Super Bowl party, has been awarded $4.25 million in damages. A FINRA panel ruled in his favor, changing his termination status and suggesting the bank acted preemptively. The broker claims JPMorgan used the incident as a pretext to…

The Economic Times

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Former JPMorgan employee wins $4M after being fired over $642 ‘Super Bowl’ deli platter

‘We vehemently disagree with FINRA's decision and are disappointed by this outcome,’ a spokesperson for JPMorgan said

The Independent UK

Fired JPMorgan Employee Wrongfully Terminated Over ‘Super Bowl’ Platter Just Won $4 Million In Explosive Case

“Disappointed by this outcome,” a spokesperson for JPMorgan Chase said following the ruling.

Bored Panda

From $642 to $4 million: Fired JPMorgan employee wins huge compensation over food platter dispute

A former JPMorgan broker who claimed he was wrongly fired over a $642.50 deli platter (food platter) linked to a business meeting has been awarded about $4 million in damages by a Wall Street arbitration panel, reports the New York Post.

The Times of India

Webull Reports First Quarter 2026 Financial Results

ST. PETERSBURG, Fla., May 22, 2026 /PRNewswire/ -- Webull Corporation (NASDAQ: BULL) ("Webull" or the "Company") today announced financial and operating results for the first quarter ended March 31, 2026.

AAP

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The PDT Rule Is On Its Way Out: 5 Stocks That Stand to Benefit the Most

The SEC officially eliminated the $25,000 PDT rule, replacing it with a modern intraday margin framework that allows accounts as small as $2,000 to day trade.

MarketBeat

Investing Scams: How to Protect Yourself and Your Money

Investors are prime targets for scammers – and the financial hit if you're impacted can be massive. Here's what to watch for and how to protect yourself.

Kiplinger

‘I feel like I’m in a financial prison’: Trump Wall Street plan puts ‘mom and pop’ investors at risk

Trump says everyday Americans deserve a chance to buy higher-risk ‘alternative’ investments. Critics say this could lead to big losses for small investors

The Guardian - US

Is the Market Running on Borrowed Time? This 1 Statistic Is Flashing a Major Warning Sign.

FINRA's margin debt statistics paint an alarming picture. Here's why this stat may be the market's hidden fuse, just waiting to go off.

Barchart

Is Your Stock a Squeeze Target? How To Decode Short Interest Data

Short interest data offers a look into investor sentiment and potential risk within the stock market and can help investors gauge how much skepticism or confidence the market has in a company’s future.

Benzinga

Who Is Truly Protecting My Assets If My Firm Goes Bankrupt Suddenly?

People tend to believe their investments remain secure because they use a well-known financial institution. What happens to the company when it faces an unexpected bankruptcy event? Many investors are unaware that their assets may not be as protected as they believe. Financial institutions need to determine their actual asset…

The Free Financial Advisor

A Lesson From the School of Rock (and a Financial Adviser) as the Markets Go Around and Around

It's hard to hold your nerve during a downturn, but next time the markets take a tumble, remember this quick rock 'n' roll tutorial and aim to stay invested.

Kiplinger

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Kiplinger

I'm a Financial Pro: This Is How You Can Guide Your Heirs Through the Great Wealth Transfer

Focus on creating a clear estate plan, communicating your wishes early to avoid family conflict, leaving an ethical will with your values and wisdom and preparing them practically and emotionally.

Kiplinger

Serving the HNW Market: How Financial Advisers Can Break Through and Deliver Lasting Value

Financial advisers have a significant opportunity to serve high-net-worth clients by elevating their capabilities, delivering comprehensive planning, building diverse teams and prioritizing family wealth education.

Kiplinger

It's Not Too Late for Wealth Advisers to Participate in the Silver Tsunami

With so many business-owning Baby Boomers set to retire, wealth advisers need a plan to ensure their business-owning clients and prospects become and remain their best clients.

Benzinga

FINRA Probes Pre-Deal Trading Tied To Douglas Elliman's Shelved Anywhere Bid: Report

Financial Industry Regulatory Authority (FINRA) has reportedly opened an inquiry into trading ahead of reports of a shelved takeover approach for Douglas Elliman Inc. (NYSE:DOUG) and asked the brokerage to identify who knew about Anywhere Real Estate Inc.’s (NYSE:HOUS) bid before it became public in late May.

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news in one place.

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Kiplinger

This Is How Lottery Winners Build Lasting Legacies, From a Financial Professional

Winning a massive lottery jackpot, like the recent $1.4 billion Powerball, requires seeking immediate legal and financial counsel, protecting your identity and winnings and planning your legacy.

Kiplinger

I'm an Investment Strategist: This Is How the Fed's Next Rate Move Could Impact Your Wallet

Interest rate cuts might be coming, which could affect everything from your credit card debt to your mortgage. It's smart to prepare now — here's how.

Kiplinger

An Expert Guide to Outsmarting Inflation: Don't Let It Restrict Your Retirement

Inflation is often underestimated when estimating retirement income, education funding or investment returns. These strategies can help preserve your purchasing power and reduce your financial anxiety.

Kiplinger

One Big Beautiful Bill, One Big Question: Will We Keep Giving?

The rules on charitable giving are changing. For some, tax deductions for donations are now an option. For others, that option may have been curtailed.

Saving Advice

Why Is the Government Investigating So Many Senior Investment Clubs?

Senior investment clubs—where retirees pool funds to invest—sound appealing on the surface. But authorities are increasingly scrutinizing them. These clubs may inadvertently become breeding grounds...

Benzinga

Morgan Stanley Probed By FINRA Over Money Laundering Risks Tied To Wealth Clients, Foreign Politically Exposed Figures: Report

Morgan Stanley (NYSE:MS) is reportedly under investigation by the Financial Industry Regulatory Authority (FINRA) for potential money laundering risks associated with its clients.

TechRadar

Compliance relics: the case against PDFs and screenshots

As digital interactions evolve, compliance can't stay static. Here's what it takes to keep up.

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