Compliance Watch

Jun 10, 2026

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Compliance Watch

News

Branch Manager Suspended at Firm Accused of Widespread Churning

By Melanie Waddell

A New York branch manager failed to supervise 39 reps' trading misconduct, FINRA's order states.

Rep Fired for Taking $15K in Mistaken Commissions Gets FINRA Suspension

By Melanie Waddell

Brandon Still misappropriated $15,000 that Arvest Wealth mistakenly paid him, according to FINRA.

News

SEC Chief Touts Renewed Focus on Individuals, Fraud

By Melanie Waddell

"Holding individual wrongdoers accountable" promotes "better safeguards for investors," Paul Atkins says.

Ex-CFA Institute Executive Pleads Guilty to $6M Theft

By Chris Dolmetsch

Michael J. Collins, CFA Institute's former CMO, embezzled almost $6 million from the group and another company.

News

Number of CFP Board Exam Takers Hits All-Time High

By Melanie Waddell

Nearly 4,440 sat for the certification test in March, the largest field ever, and two-thirds passed.

Supreme Court Voices Little Interest in More Curbs on SEC

By Greg Stohr

The justices weighed restricting the financial watchdog's power to collect ill-gotten gains.

Resources

Supply, Demand, and the U.S. Multifamily Housing Shortage

Sponsored by: Grubb Properties

The U.S. multifamily market is at a critical inflection point. As new supply dwindles and demand remains strong, discover the key trends shaping investment strategy and performance in 2026 and beyond.

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WEBCAST DATE: June 16, 2026

NextGen Client Engagement: Planning Strategies to Capture Millennials and Gen Z

eMoney

Are you prepared to meet the next generation where they are? This webcast provides a clear roadmap for transforming your practice to thrive in the era of the Great Wealth Transfer.

LEARN MORE

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