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

March 24, 2023
Heartland Bank & Trust Co. Agrees to $9 Million Settlement For Allegedly Aiding and Abetting a Ponzi Scheme

The Securities and Exchange Commission (SEC) has agreed to a $9 million settlement
with Heartland Bank & Trust Co. over the bank’s alleged role in aiding and abetting a $75
million Ponzi scheme.

March 23, 2023
Morgan Stanley Obtains TRO Against Pennsylvania LPL Advisor Over Inherited Accounts and Misrepresentations

A federal judge has awarded Morgan Stanley a temporary restraining order (TRO)
against a Pennsylvania-based advisor who recently departed for LPL Financial.

March 22, 2023
Sanford Bernstein & Co. and Alliance Bernstein Face FINRA Arbitration Claim Over Options Advantage Strategy

Sanford Bernstein & Co. and Alliance Bernstein (Bernstein) are facing what could be the first of several Financial Industry Regulatory Authority (FINRA) arbitration claims related to its Options Advantage Strategy.