Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
Jason J. Eaton, who allegedly called himself a "reformed broker," was arrested by the ATF for allegedly shooting three 20-year old Palestinian students in Vermont this weekend. Eaton has a FINRA history, with a series of short stints at TD...
Meant to eliminate conflicts of interest on self-directed trading apps that use AI and predictive analytics, the rule would in fact cut off market access for many of the investors who use them, a lawyer for the tech firm argued in a recent public...
In the latest filing in its suit against FINRA in federal court, the Utah-based brokerage firm disputed the regulator’s claims that a ruling against it could have a dire impact on investors.
Haywood USA failed to do due diligence for approximately 134 sales recommendations of private placement offerings totaling nearly $11 million, breaking FINRA rules and violating the SEC's care obligations.
Parsonex Capital Markets failed to tell clients that several of its reps and one of its affiliated firms had checkered regulatory histories, according to FINRA.
The Board’s Disciplinary and Ethics Commission previously released anonymized iterations of its public sanctions, but starting today the Board will make the actual orders available to the public.
