Tagged with "management"

What to do When Faced with a Team Disagreement

Posted on September 5th, 2018 at 9:42 AM
What to do When Faced with a Team Disagreement

When your team or partnership has issues or no longer can get along, the first step may not be to seek a resolution from your manager – whose interests may not be aligned with your interests.  Instead, financial advisors need to locate their team agreement and seek assistance from a competent securities lawyer familiar with employment practices within the financial services industry.

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September 22, 2023
State Regulators Maintain Opposition to FINRA's Remote Supervision Pilot Program

The North American Securities Administrators Association (NASAA) and the Public Investor Advocate Bar Association (PIABA) has consistently opposed the Financial Industry Regulatory Authority's (FINRA) proposal for a voluntary three-year pilot program for remote inspections.

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).