Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.
The work that you and your team have performed on my behalf is exemplary.
Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.
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.
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.