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SEC Claims Power Up Lending, Other Affiliated Firms Operated As Unregistered Securities Dealers |...
Crowdfund Insider· 1 day agoThe Securities and Exchange Commission (SEC) has filed charges against Curt Kramer and his...
T+1 Settlement Cycle: Implications for Investment Advisers | JD Supra
JD Supra· 6 days agoAs discussed below, the amendments and new rule will have implications for many investment advisers. Advisers should therefore review their settlement practices, compliance policies and procedures ...
LPL completes deal for Crown Capital’s $5B wealth business - InvestmentNews
InvestmentNews· 12 hours agoThe wealth management behemoth announced Wednesday that it has successfully completed its...
After losing arbitration, brokers file bankruptcy - InvestmentNews
InvestmentNews· 1 day agoRon Yehuda Itin is the president and owner of a small broker-dealer E1 Asset Management Inc., based...
Trump Media's banned accountant had 20 B-D clients - InvestmentNews
InvestmentNews· 2 days agoBF Borgers CPA PC, which agreed in a settlement on Friday to be banned from the industry, had 20 ...
Injunction approved for state officials regarding Memphis-based investment activity
Eyewitness News Memphis· 2 days agoThe group allegedly engaged in fraudulent activity and acted as unregistered broker-dealers and...
Fidelity Sales Practices Violated Reg BI, Advisor Says in Whistleblower Suit | ThinkAdvisor
ThinkAdvisor· 1 day agoDistrict Court in Texas’ northern district. Fidelity’s actions have cost Maeker millions in damages...
What's The Deal With New SEC Rule 3a5-4 And California?
The National Law Review· 7 days agoSection 3(a)(5) of the Securities Exchange Act of 1934 defines the term “dealer” to mean “any person...
LPL Closes Acquisition of $6.5B Wealth Business | ThinkAdvisor
ThinkAdvisor· 1 day agoLPL Financial said Wednesday that it has completed its acquisition of the wealth management business...
Osaic Closes Lincoln RIA and BD Acquisition | ThinkAdvisor
ThinkAdvisor· 1 day agoOsaic, formerly Advisor Group, says it has successfully closed its acquisition of broker-dealer...