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FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.
February 8 -
Yan Zhao, President of NYDIG as she exploreshow Bitcoin is experiencing wider adoption in the traditional finance world, and why that is.
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Financial advisors have a variety of objectives in working with their investment-planning clients. But when all is said and done, clients are usually mainly interested in a successful road map to growing and protecting their wealth to and through retirement.
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Federal prosecutors alleged James K. Couture had reached an agreement to sell a home in Cape Cod before the proceeds could go toward restitution.
August 3 -
Adjustments to the organization’s sanction guidelines and procedural rules are the latest step in its ongoing enforcement overhaul.
July 28 -
The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.
July 27 -
O’Connell violated six state laws, according to a regulatory complaint.
July 26 -
The nonprofit is serious about weeding out bad actors among CFP holders, writes Tom Sporkin, the official hired to run its compliance efforts.
July 22CFP Board -
Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.
July 22 -
The Houston, Texas-based firm was also censured and required to retain an independent consultant.
July 20