The SEC has fined and censured Dupree Financial Group, LLC (Dupree Financial) $25,000 for compliance failures.
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The SEC has fined and censured Dupree Financial Group, LLC (Dupree Financial) $25,000 for compliance failures.
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.