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The former J.W. Cole advisor’s practice allegedly sold more than $40 million worth of unsuitable and unregistered promissory notes.
October 22 -
The regulator found that the financial services company failed to take precautions in disposing of hardware that contained sensitive customer information.
October 8 -
The company's outgoing CFO discussed ways the asset cap is stunting growth, but provided no updates at an industry conference on when the restriction might be lifted or the types of jobs it will cut.
September 15 -
SagePoint Financial failed to adequately supervise reps who recommended that clients exchange the products before maturity, the regulator says.
June 16 -
The onetime CFP pleaded guilty to violating his parole after previously avoiding prison time through a plea deal in 2018.
May 26 -
Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.
April 28 -
The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.
October 29 -
NASAA’s annual survey of regulators sheds light on legal proceedings against BDs, RIAs and unregistered firms that often go unnoticed in the wider industry.
September 11 -
A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.
August 8 -
Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.
August 2Wealth Logic