FINRA Suspends Rep for Excessive Trading in Retiree's Account
By Melanie WaddellGary Talbot of Spartan Capital recommended a series of transactions that violated Regulation Best Interest, an order states.
August 24, 2026
Ex-Fidelity Advisor Sentenced to Nearly 7 Years for Stealing $2M From Elderly ClientEric James Stone befriended a 75-year-old woman and used her money on gambling websites, DOJ says.
August 24, 2026
Kestra Appoints New Head of Wealth ManagementAfter 13 years at BlackRock, Kelly Apple replaces John Amore, who had been promoted to president.
August 24, 2026
Trump Stock Disclosure Shows More Than 1,000 Trades in JuneTrump made more than 21,000 securities trades in 2025, often in bursts tied to market events he created.
August 21, 2026
Life, Health and Annuity Issuers Are Still HiringMost participants in the latest Jacobson-Aon insurance labor market survey expect revenue growth over the next 12 months.
August 21, 2026
XYPN Partners With Phone PlatformThe CurrentClient collaboration provides discounts on tools for compliant texting, AI-generated call summaries and other tasks.
August 21, 2026
Two Texans Convicted in Ponzi Scheme Tied to Ex-San Antonio AdvisorThe trio, prosecutors say, conspired to mislead the victims concerning the security of the investments and concealed their high commissions.
August 21, 2026
Dalio Says Sell Bonds, Buy Gold and Bitcoin as Debt Crisis LoomsInvestors should put as much as 15% of their money in gold, the Bridgewater Associates founder says.