The SEC filed charges on October 24 against Southlake Resources Group, LLC, its president, Cody M. Winters, and its vice president, Nicholas R. Hamilton.
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The SEC filed charges on October 24 against Southlake Resources Group, LLC, its president, Cody M. Winters, and its vice president, Nicholas R. Hamilton.
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.