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Tagged with "investing"

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Equity Crowdfunding on the Rise

Posted on December 2nd, 2019 at 5:11 PM
Equity Crowdfunding on the Rise

Equity crowdfunding, though a relatively new practice, is becoming a viable option for investors. The SEC estimates that 1,351 equity crowdfunding offerings have taken place between 2016 and 2018, raising over $107 million in the United States. From 2017 to 2018, the number of investors participating in equity crowdfunding nearly doubled.

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Massachusetts Investment Adviser Pleads Guilty to Stealing More Than $3 Million From Clients

Posted on November 21st, 2018 at 3:47 PM
Massachusetts Investment Adviser Pleads Guilty to Stealing More Than $3 Million From Clients

Cape Code investment adviser, Kimberly Pine Kitts has pled guilty in U.S. District Court to defrauding clients out of $3 million by using an aggressive scheme to carry out fraud, wire fraud and aggravated identity theft.

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FINRA Fines EDI Financial, Inc. for Private Placement Offerings

Posted on May 8th, 2015 at 2:46 PM
FINRA Fines EDI Financial, Inc. for Private Placement Offerings

FINRA alleged that EDI Financial, Inc., a registered broker-dealer in Texas, failed to adopt and implement supervisory systems for the solicitation and sale of private placements.

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Wirehouse Advisors' Tactical Play on Currency ETFs

Posted on May 7th, 2015 at 12:02 PM
Wirehouse Advisors' Tactical Play on Currency ETFs

According to a top investment strategist at Bank of America Merrill Lynch, more financial advisers are investing in funds that access European stocks while muting currency swings. That’s because the European Central Bank began a “quantitative easing” program that will inject a planned €1.1 trillion into the economy by September 2016.   

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Latest Articles
SEC Announces 2021 Examination Priorities
March 4th, 2021 at 2:29 PM
FINRA Suspends Advisor Who Helped His Barred Father Service Clients
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