Tagged with "industry bar"

SEC Bars California Advisor For Defrauding Pro Athletes

Posted on January 19th, 2017 at 8:55 AM
SEC Bars California Advisor For Defrauding Pro Athletes

Former financial advisor Ash Narayan, who was the managing director of the Irvine, California, office of RGT Wealth Advisors, has agreed to accept an industry bar. 

Read More »

TESTIMONIALS

Previous
Next

You are the best attorneys in the country.

CC

LATEST NEWS AND ARTICLES

April 25, 2024
B. Riley Financial Clears Air Amid Allegations, Stock Surges

Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.

April 24, 2024
RIA Insurance Claims Skyrocket

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.

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

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.