A federal judge ordered broker-dealer Clarice Saw to pay more than $2 million to the Securities and Exchange Commission after she allegedly defrauded an elderly customer of approximately $2.4 million. Judge Paul G. Gardephe granted […]
Broker Clarice Saw Ordered to Pay $2 Million in SEC Elderly Client Fraud Case Read More »
Variable annuity abuse remains one of the most costly forms of broker misconduct facing retirees, with regulators now targeting unsuitable sales and abusive 1035 exchanges.
Variable annuity abuse costs retirees billions as regulators tighten oversight Read More »
AI adoption is rising fast, but worker trust and manager readiness are not keeping pace. Here is the leadership gap the newest research points to.
AI at Work Is Growing Faster Than Leadership Trust Read More »
FINRA permanently barred Andrew Joseph Egber, a former financial advisor at Wells Fargo Clearing Services, after Maryland authorities secured a guilty plea in a scheme that drained $545,831 from elderly investors. The 61-year-old broker instructed
FINRA Bars Former Wells Fargo Broker Andrew Egber After $545K Elderly Investor Fraud Read More »
Former Stifel Nicolaus broker Chuck A. Roberts has been barred by FINRA following allegations of structured product misconduct that exposed retail clients to losses they did not understand.
Former Stifel broker Chuck Roberts barred by FINRA over structured product misconduct Read More »
Coca-Cola raised its quarterly dividend this month, extending one of the most impressive streaks in the S&P 500. The company has now increased its payout for 64 consecutive years, a record that spans recessions, inflation
Coca-Cola raises dividend for 64th straight year: why income investors keep buying Read More »
Oracle Corporation reported fiscal fourth-quarter earnings this week that beat analyst expectations, driven by accelerating demand for AI cloud infrastructure. The results mark another milestone in the company’s transformation from traditional enterprise software to a
Oracle earnings beat on AI cloud demand as backlog surges past $40 billion Read More »
The May 2026 Consumer Price Index report delivered unwelcome news for income-focused investors. Headline CPI rose 4.2 percent year over year, up from 3.3 percent in March. Energy costs led the surge. Gasoline prices climbed
Treasury yields near 5% as sticky inflation forces retirees to rethink income strategy Read More »
T. Rowe Price raised its quarterly dividend to $1.30 per share in February 2026, reflecting stabilizing fee revenue and growing assets under management.
T. Rowe Price Raises Dividend 2.4% to $1.30 as Assets Under Management Climb Read More »
We have prosecuted cases against some of the largest broker-dealers on Wall Street. None of them carried the scale or the audacity of what regulators just uncovered at Canaccord Genuity. In March 2026, three regulators
Canaccord Genuity hit with record $120M penalty for decade-long AML failures Read More »
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