On Monday, The Financial Industry Regulatory Authority (FINRA) said that it would give firms greater flexibility in administering agents working remotely and in migrating staff to transitory areas. The regulator also said it would consider granting increases for firms that need more opportunity to react to requests and document cutoff times or examinations.

In reaction to the appearance of the pandemic coronavirus, some financial consulting corporations are telling their employees to work from home. Market unpredictability, working remotely -- and the greater cybersecurity openness introduced by doing so -- together take firms into a very high zone of vulnerability.

Arbitration experts warned that large market interruptions in the past had brought about incre investor claims against brokers. Recent extraordinary market volatility due to the coronavirus pandemic raised concerns that securities arbitration cases would rise sharply in the aftermath of the crisis.

Investment law specialists on Thursday raised concerns that the Financial Industry Regulatory Authority will lose its capacity to exclude bad brokers because of a progressing case pitting the Securities and Exchange Commission against a broker that FINRA banned in 2008.

Non-traditional ETFs are complex financial products designed to achieve a specific performance result on a daily basis. It should be noted here that non-traditional ETFs are neither good nor bad — their value depends on how they are used and who they are used for.

The Securities and Exchange Commission recently announced that it had brought charges against major fraudster, Denis Georgiyevich Sotnikov for his role in a $26 million investment scam.

The Securities and Exchange Commission earlier this week barred three salesmen who worked at firms with the homiest of monikers: Balanced Financial Inc., Live Abundant and Old Security Financial Group. The SEC accused all three of selling a Ponzi scheme.

Financial oversight experts are scrutinizing non-traditional Exchange Traded Funds (ETFs) in the midst of an outcry from investors who have lost millions of dollars in the alternative investments. Moreover, investment fraud lawyers have launched litigation on behalf of investors who may have lost cash due to brokers recommending the risky ETFs.

On Friday, Federal prosecutors announced that a Berks County accountant has been charged with one of the greatest Ponzi schemes in the history of the Pennsylvania.

U.S. Attorney William McSwain disclosed that Philip Elvin Riehl, 68, of Bethel Township, Berks County, PA was charged with conspiracy to convey securities fraud, wire fraud and similar offences. Investigators assert Riehl's scheme targeted hundreds of Mennonite and Amish religious people in and outside Pennsylvania over 10 years and profited $60 million.

A former stockbroker, Anthony Diaz of Scotrun, PA has been charged on 11 counts of wire and mail fraud for running a scam on investors. Each of the counts carries a maximum 20-year jail penalty.