The SEC is pursuing charges against Equity Trust Co., a Ohio based IRA provider. The SEC alleges that Equity Trust was “ignoring red flags for accounts with investments that turned out to be fraudulent.”
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The SEC is pursuing charges against Equity Trust Co., a Ohio based IRA provider. The SEC alleges that Equity Trust was “ignoring red flags for accounts with investments that turned out to be fraudulent.”
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.
The Securities and Exchange Commission (SEC) is ramping up its enforcement efforts targeting off-channel communications, particularly text messages, among investment advisory firms.