Kevin James, an independent financial advisor in Indianapolis, has been sentenced to 10 years in prison for orchestrating an investment fraud.
I want to thank you for your excellent professional representation. It was greatly appreciated.
Kevin James, an independent financial advisor in Indianapolis, has been sentenced to 10 years in prison for orchestrating an investment fraud.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.
The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.