This is the fifth of several posts detailing the CFP Board enforcement process. This post will focus on the rules regarding a Petition for Fitness Determination.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
This is the fifth of several posts detailing the CFP Board enforcement process. This post will focus on the rules regarding a Petition for Fitness Determination.
Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.
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.