The Financial Industry Regulatory Authority (“FINRA”) has fined Prudential $1 million for retirement plan investment-related violations.
This was the best of all possible outcomes and I cannot thank you and the team enough.
The Financial Industry Regulatory Authority (“FINRA”) has fined Prudential $1 million for retirement plan investment-related violations.
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.