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The commission accused Global Predictions and Delphia of “AI washing,” making misleading claims about how they each used artificial intelligence in managing investments.
FINRA argued Osaic Wealth (formerly Royal Alliance) and Securities America didn’t have proper cyber controls in place at branch offices, resulting in dozens of breaches over several years.
Dan Seivert of ECHELON Partners offers perspective to help advisors better understand their business’s value drivers and how to maximize each, even if you aren’t interested in going independent or selling your business.
Though the number of fines increased from 2022 by 63%, the disciplinary actions declined for the third straight year, according to an analysis from the law firm Eversheds Sutherland.
