The SEC filed two cases against Todd M. Schoenberger and Michael G. Thomas, two investment advisors, who falsified their credentials.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
The SEC filed two cases against Todd M. Schoenberger and Michael G. Thomas, two investment advisors, who falsified their credentials.
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.