Our Take Blog

Adviser’s Lacking Due Diligence Leads to Industry Bar and $1 Million in Penalties Firm Fined $20 Million for Stock Buyback While in Possession of Material Nonpublic Information SEC Rejects Dual-Hat Chief Compliance Officer Model and Urges More Compliance Spending FINRA Requires Firm Approval of Beneficiary/Trustee/Executor/PoA Relationships SEC Uses Big Data to Prosecute 5 Firms for Unsuitable Recommendations