Financial Industry Regulatory Authority
Stephens COO Brad Eichler Elected to FINRA Board of Governors
As a FINRA board member, he joins the organization's efforts to oversee U.S. broker-dealer regulations. read more >
Former Broker Says Paperwork Error Led to FINRA Action
Naviter Wealth CEO Bentley Blackmon received a $5,000 fine and a 3-month suspension. read more >
FINRA Awards Stephens Inc. $18.2M in Staff Poaching Case
The Financial Industry Regulatory Authority awards Stephens Inc. $18.17 million in a dispute over corporate raiding by Benjamin F. Edwards & Co. read more >
by Mark Friedman -
Investment Adviser Adam Kuettel Accused of Costing Clients Millions
Bentonville investment adviser Adam Kuettel has been in a destructive spiral since March 30, both professionally and personally. read more >
by Mark Friedman -
SEC, Labor Seek Compromise on Fiduciary Duties
Bill Sowell, a registered investment adviser in North Little Rock, embraces a legal obligation to put clients’ financial interests first. And he’s frustrated that the requirement doesn’t apply to everyone across the investing industry. read more >
by Kyle Massey -
Stephens Inc. Fires Adviser Involved in Rogers Gambling Case
Stephens Inc. of Little Rock fired the financial adviser whose suspicious cash withdrawals from his personal bank accounts led federal agents to uncover a large-scale illegal gambling operation in Rogers. read more >
Investment Fraud: Anyone Can Be a Victim
A recent study found that, between 2005 and 2015, about 7 percent of financial advisers had a record of misconduct. read more >
by Mark Friedman -
NFL’s Darren McFadden Learns Lesson From Financial Fumble
In June, Dallas Cowboys running back Darren McFadden filed a lawsuit accusing his former family friend and financial adviser, Michael Vick of Pulaski County, of “gross incompetence, self-dealing and outright theft” of more than $15 million. read more >
by Mark Friedman -
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