The U.S. Securities and Exchange Commission ("SEC") continued to focus on enforcement and misconduct that puts investors at risk in fiscal year 2019.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
The U.S. Securities and Exchange Commission ("SEC") continued to focus on enforcement and misconduct that puts investors at risk in fiscal year 2019.
FINRA’s efforts to curb variable annuity abuse have led to an increase in fines and an increase in the number of cases brought against advisors by FINRA Enforcement.
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.
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.
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.