Tagged with "investments"

Valuation Uncertainties Come to Light With Business Development Companies in View of COVID-19

Posted on March 23rd, 2020 at 4:39 PM
Valuation Uncertainties Come to Light With Business Development Companies in View of  COVID-19

The tide has gone out for many investments, revealing their issues, shortcomings and problems. Business development companies (“BDC”) are the latest investments to be exposed. 

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SEC Examiners to Focus on Fee Disclosure Issues

Posted on March 11th, 2019 at 1:45 PM
SEC Examiners to Focus on Fee Disclosure Issues

As continually emphasized by current and former SEC officials this month during the 21st Annual IA Compliance Conference, examiners will continue to review the fees that advisors are charging clients on certain investments, the adequacy of their fee disclosures, and how their investment choices impact investors’ bottom lines.

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Three Large Brokerage Networks Offering Significant Recruiting Bonuses in 2019

Posted on March 1st, 2019 at 1:49 PM
Three Large Brokerage Networks Offering Significant Recruiting Bonuses in 2019

As Merrill Lynch, Morgan Stanley and UBS Financial Services, Inc. have recently pulled back their recruiting efforts in order to focus on growing assets and revenue internally, firms such as Wells Fargo Advisors, LPL Financial and Cetera Financial Group are seeking the opportunity to gain ground by offering attractive recruiting bonuses.

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Blockchain and Cryptocurrencies: A Primer for Financial Planners Part Two

Posted on February 18th, 2019 at 4:30 PM
Blockchain and Cryptocurrencies: A Primer for Financial Planners Part Two

This is the second article in our three-part series on blockchain and cryptocurrencies. Part two is a break-down of how cryptocurrencies can be utilized as investments.

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Blockchain and Cryptocurrencies: A Primer for Financial Planners

Posted on February 15th, 2019 at 2:47 PM
Blockchain and Cryptocurrencies: A Primer for Financial Planners

This is the first article in a three-part series to provide basic insight needed to understand the new world of blockchain. What is blockchain? How is it related to cryptocurrencies? What is “Bitcoin” all about?

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LaSalle Securities Fined for Inadequate Supervise On Private Placements

Posted on March 11th, 2015 at 5:10 PM
LaSalle Securities Fined for Inadequate Supervise On Private Placements

According to FINRA, LaSalle Securities failed to adequately supervise a rep’s participation in a private offering and failed to ensure that the offering documents were appropriately filed with FINRA.

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LATEST NEWS AND ARTICLES

December 3, 2021
FINRA Issues Fine to Small Advisory Firm Over Material Misrepresentations

The Financial Industry Regulatory Authority has censured and issued a $250,000 fine to a Los Angeles-based advisory firm, WestPark Capital Inc., for making material misrepresentations pertaining to promissory notes offered by its parent company.

December 2, 2021
FINRA Imposes Suspension on Ohio-Based Advisor Over Outside Investments

The Financial Industry Regulatory Authority (FINRA) has issued a one-year suspension and $12,500 fine to an Ohio-based advisor, William LeBoeuf, who worked at Merrill Lynch and Cetera Advisor Networks when the violations occurred.

December 1, 2021
SEC Charges Former Illinois Edward Jones Advisor With Fraud

The Securities and Exchange Commission (SEC) has charged a former Illinois-based investment advisor, Ronald Molo, with defrauding three clients out of at least $800,000.