Relationships Covered by the CFP Board Code and the SEC’s Reg B-I
September 1st, 2020 at 3:00 PM
This is the seventh of several posts discussing the similarities and differences of the SEC’s recently-implemented Regulation Best Interest (“Reg. B-I”) and the CFP Board’s Code of Ethics and Standards of Conduct. In this post, we will look at which relationships are covered by the CFP Board Code and Reg. B-I.
CFP Board Enforcement Process: Resolution of Petitions for Fitness Determination
August 31st, 2020 at 12:54 PM
This is the eleventh of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding resolution of a Petitions for Fitness Determination.
SEC Files Emergency Action Against Coral Gables Asset Management
August 28th, 2020 at 12:50 PM
The U.S. Securities and Exchange Commission (“SEC”) filed an emergency action against Coral Gables Asset Management and its owner, David C. Coggins (collectively, the “Defendants”), relating to an alleged fraudulent offering.
The SEC Files Complaint Against Mark Boucher and Strategic Wealth Advisors Group Services
August 26th, 2020 at 3:18 PM
The U.S. Securities and Exchange Commission (“SEC”) charged advisor Mark J. Boucher and his company, Strategic Wealth Advisor Group Services, Inc., with fraud.
Recommendations Covered by the CFP Board Code and the SEC’s Reg B-I
August 25th, 2020 at 1:48 PM
This is the sixth of several posts discussing the similarities and differences of the SEC’s recently-implemented Regulation Best Interest (“Reg. B-I”) and the CFP Board’s Code of Ethics and Standards of Conduct
CFP Board Enforcement Process: Resolution of Complaints
August 24th, 2020 at 2:58 PM
This is the tenth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding resolution of complaints.
Morgan Stanley Agrees to Settle FINRA Charge of Failure to Supervise
August 24th, 2020 at 10:04 AM
Morgan Stanley Wealth Management has reached an agreement with the Financial Industry Regulatory Authority (“FINRA”) to settle charges relating to alleged supervisory failures.
FINRA Suspends Broker for Conduct Related to Customer Complaint
August 21st, 2020 at 9:05 AM
Former Edward Jones broker, Michael A. Erwin, agreed to pay a $2,500 fine and serve a 10-day suspension from association with any FINRA member firm in all capacities.
