The SEC filed charges on October 24 against Southlake Resources Group, LLC, its president, Cody M. Winters, and its vice president, Nicholas R. Hamilton.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
The SEC filed charges on October 24 against Southlake Resources Group, LLC, its president, Cody M. Winters, and its vice president, Nicholas R. Hamilton.
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.