GWG Holdings announced its bankruptcy earlier this year, which has resulted in the resignations of multiple members of its board of directors.
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GWG Holdings announced its bankruptcy earlier this year, which has resulted in the resignations of multiple members of its board of directors.
Certified Financial Planning (CFP) Board CEO, Kevin Keller, recently participated in a Zoom interview with InvestmentNews’ Mark Schoeff Jr. to discuss the Board’s initiatives as 2022 approaches.
The former CEO of First American Securities, Thomas Brenner, is facing seven federal fraud charges related to sales of private placement securities after the firm was barred.
Former registered rep Bobby Eugene Guess was arrested following his indictment on charges of securities fraud, theft, money laundering and engaging in organized criminal activity related to the multi-million-dollar sale of investments in an internet advertising company.
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.
WealthFeed leverages proprietary AI technology to collect nine real-time financial data points, including business sales, capital raises, inheritances, and job changes.