The U.S. Securities and Exchange Commission (“SEC”) announced that it had filed charges against former Advanced Practice Advisor, LLC (“APA”) advisor Jacob C. Glick of Scottsdale, Arizona
SEC Files Suit Against Advanced Practice Advisors and CEO Paul Spitzer
January 15th, 2021 at 10:35 AM
The U.S. Securities and Exchange Commission (“SEC”) has filed a lawsuit against Advanced Practice Advisors, LLC (“APA”), a former SEC-registered investment adviser, and the firm’s CEO, Paul C. Spitzer.
FINRA Proposes Rule to Regulate “Restricted” Firms
January 13th, 2021 at 4:05 PM
One issue facing the Financial Industry Regulatory Authority (“FINRA”) is how to regulate “restricted firms,” firms that have high levels of risk-related disclosures, employ brokers with a history of misconduct, or fail to adhere to its obligations regarding supervision and compliance.