The SEC’s Division of Examinations has announced its 2021 examination priorities. The 2021 examination priorities reflect the complicated, diverse, and evolving nature of investors' risks and the markets. Here are the highlights.
Tagged with "Eccleston Law Offices"
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FINRA Suspends Former LPL Financial Advisor for Outside Business Activity
Posted on October 8th, 2020 at 2:46 PM
Former LPL Financial advisor Tracy M. Meade agreed to pay a $5,000 fine and serve a 2-month suspension from association with any FINRA member firm in all capacities.
Christopher Burns, Atlanta-Area Financial Advisor, Reported Missing
Posted on October 7th, 2020 at 12:17 PM
A missing persons report has been filed for Christopher W. Burns, a financial advisor in Atlanta.
REIT Managed by AR Global Sees Steep Decline in Value
Posted on October 6th, 2020 at 12:14 PM
New York City REIT Inc. (the “NYC REIT”) has seen a sharp decline in share price over the last couple of months. The NYC REIT, which was started in 2013, had an offering price of $25 when it was first listed on the Nasdaq in August
Former Compliance Officer Settles Charges Brought by SEC
Posted on October 2nd, 2020 at 9:31 AM
Meredith A. Simmons, former hedge fund chief compliance officer, settled charges brought by the U.S. Securities and Exchange Commission (“SEC”) that she withheld a compliance record during an SEC examination.
CFTC and State Regulators File Suit against Metals.com
Posted on September 28th, 2020 at 3:11 PM
On September 22, 2020, the Commodity Futures Trading Commission (“CFTC”) along with state regulators from 30 states filed a civil action against TMTE Inc., doing business as Metals.com, along with Barrick Capital and Barrick’s principals Lucas Asher and Simon Batashvili.
Firms Required to Hyperlink to FINRA’s BrokerCheck Next Year
Posted on December 24th, 2015 at 3:16 PM
In FINRA Regulatory Notice 15-50 issued on December 7th, FINRA announced that the SEC approved amendments to FINRA Rule 2210 (Communications with the Public).
Puerto Rico’s Uncertain Future Leaves Investors in Limbo
Posted on August 14th, 2015 at 12:55 PM
After Puerto Rico slipped into default status on their $72 billion debt, U.S. municipal bond fund investors were left exposed to a crumbling financial situation.
Financial Service Firms Engage in Raiding Suit
Posted on August 13th, 2015 at 2:08 PM
Two large financial services firms have entered a heated dispute over the poaching of 60 brokers.
Former Broker Accused of Selling Unregistered Securities
Posted on June 5th, 2015 at 8:29 AM
The Connecticut Department of Banking has alleged that former registered broker James Neilsen sold unregistered securities.
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