Tagged with "LLC"

SEC Files Charges Against Jacob Glick

Posted on January 19th, 2021 at 4:08 PM
SEC Files Charges Against Jacob Glick

The U.S. Securities and Exchange Commission (“SEC”) announced that it had filed charges against former Advanced Practice Advisor, LLC (“APA”) advisor Jacob C. Glick of Scottsdale, Arizona

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Colorado Man Arrested For Investment Scheme

Posted on November 16th, 2016 at 9:34 AM
Colorado Man Arrested For Investment Scheme

Gary Snisky of Longmont, Colorado, has been arrested on charges of mail fraud and money laundering during a scheme to defraud investors.  

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You were most helpful with my FINRA deposition. You are a good lawyer and a good person.

Dan B.

LATEST NEWS AND ARTICLES

April 25, 2024
B. Riley Financial Clears Air Amid Allegations, Stock Surges

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.

April 24, 2024
RIA Insurance Claims Skyrocket

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.

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

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.