Tagged with "William Quigley"

New York Broker Charged in Investment Fraud

Posted on June 16th, 2015 at 11:33 AM
New York Broker Charged in Investment Fraud

William Quigley, former Chief Compliance Officer of Trident Partners Ltd, has been charged with conspiracy to commit wire fraud and money laundering conspiracy in connection with an investment scheme. He could face up to 20 years in prison.

Read More »



I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

David Y


October 20, 2021
5 First-of-Their-Kind SEC Enforcement Actions Announced

Securities and Exchange Commission (SEC) Enforcement Director Gurbir Grewal recently discussed notable first-of-their-kind enforcement actions that his division has pursued.

October 19, 2021
FINRA Targets SPACs in Most Recent Exam Sweep

The Financial Industry Regulatory Authority (FINRA) has begun an examination sweep of advisors’ involvement with special purpose acquisition companies (SPACs).

October 18, 2021
SEC’s Statement on Complex Exchange-Traded Products

The Securities and Exchange Commission (SEC) recently voted to approve a pair of rule changes proposed by Cboe BZX Exchange, Inc. to list and trade shares of new exchange traded-products: the 2x Long VIX Futures ETC and the -1x Short VIX Futures ETF.