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Regulation & Compliance
SEC Charges Florida Man With Defrauding Puerto Rican CitySEC Charges Florida Man With Defrauding Puerto Rican City

The SEC claims that Eugenio Garcia Jimenez Jr., an unregistered investment advisor, misappropriated $7.1 million of funds belonging to the Municipality of Mayagüez, Puerto Rico.

byDiana Britton, Managing Editor
Dec 1, 2020
|
1 Min Read
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Mutual Funds
Potomac Model Portfolios Now Available on Axiom RIA, Fidelity PlatformsPotomac Model Portfolios Now Available on Axiom RIA, Fidelity Platforms
byDiana Britton
Dec 1, 2020
1 Min Read
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC: Florida Man Misused Haitian American Investors' FundsSEC: Florida Man Misused Haitian American Investors' Funds
byPatrick Donachie
Nov 30, 2020
2 Min Read
Nautica Wealth Advisors
Industry News & Trends
$250 Million Firm Rejoins LPL Financial$250 Million Firm Rejoins LPL Financial
byPatrick Donachie
Nov 30, 2020
2 Min Read
SEC Seal
Regulation & Compliance
Advisor Craig Rumbaugh Settles With SEC for $1 MillionAdvisor Craig Rumbaugh Settles With SEC for $1 Million
byAsia Martin
Nov 25, 2020
1 Min Read
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RIA
CFP Board Puts Advisor in the Penalty BoxCFP Board Puts Advisor in the Penalty Box
byWealthManagement.com
Nov 25, 2020
1 Min Read

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