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.
Our good friend and contributor Josh Brown, a financial advisor who runs theReformedBroker blog says the bucket shops are in full tilt trying to scam ignorant but rich people in Reg D vehicles, promising them that they will hold Facebook share...
Internal Revenue Service grants extension of filing deadline for certain estates to make portability election Notice 2012-21 (Feb. 17, 2012) grants executors of certain estates a six month extension to file a federal estate tax return (Form 706)...
Repeat Offender Brian Raymond Callahan was a repeat offender, as is so often the case with white collar crime. In 2009, the Financial Regulatory Industry Authority barred him from associating with any FINRA member, so he went the investment...
I'm leaving you. I'm leaving you for someone else. It's over. It's been great, really. You've given me so much space, so much freedom. Most people don't understand our relationshipI don't want this to end. But I don'...