Broker Accused of Trading in Dead Client's Account
By Melanie WaddellJohn Polemis also took $28,000 in loans from the client and didn't repay him, FINRA alleges.
May 15, 2026
Integrated Partners Adds $850M City Square Wealth ManagementThe firm now boasts $25 billion in assets under advisement, according to its president, Andree Mohr.
May 15, 2026
Trump's More Than 3,700 Trades Astonish Wall Street InsidersIn the first quarter, the president bought at least $1 million each in firms like Nvidia, Oracle, Microsoft and Boeing.
May 15, 2026
SEC to Remain 'Active' in Pursuing Advisor CasesThe agency will also focus on retail investor fraud, according to its new enforcement chief, David Woodcock.
May 15, 2026
OpenAI, Plaid Aim to Bring Tailored Financial Guidance to the MassesUntil now, ChatGPT has only been able to provide generic recommendations.
May 15, 2026
Kitces: How AI Could Worsen the Advisor ShortageThe technology, the planner suggests, could lead firms to gut entry-level roles, creating experience gaps.
May 15, 2026
BofA's Hartnett Says Stock Market Ripe for Profit Taking in JuneGrowing price pressures are having a broad impact, from energy and transportation costs to rents, the strategist notes.
May 14, 2026
Social Security Wasted Money Chasing Small Overpayments, Watchdog FindsThe agency spent approximately $4.6 million to recover about $2.6 million, its inspector general estimated.