So far this year, 36 North American oil and gas producers have gone bankrupt, according to an article on Law360.
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So far this year, 36 North American oil and gas producers have gone bankrupt, according to an article on Law360.
Platinum Partners’ flagship fund has filed for chapter 15 protection bankruptcy. Platinum Partners filed for Chapter 15 because its fund had legal operations in the Cayman Islands.
A new FINRA proposal that requires brokerages to strengthen the background reviews they conduct on new hires has been approved by the SEC.
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.