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Cyber Security Cyber security, cyber security, cyber security. 10 years ago, it wasn’t even a thing. Now, it is one of the hottest topics in the financial services industry. Unfortunately, these days individuals trying to [...] Read more
Failure to Seek Best Execution Leads to Large Fine Last month, the Securities & Exchange Commission (“SEC” or the “Commission”) instituted cease and desist proceedings against PNC Investments LLC (PNCI), a registered investment adviser and broker-dealer, due to violations of the Investment [...] Read more
Meet “SALI” – The SEC’s Additional Investor Protection Search Tool On May 2, 2018 the Securities and Exchange Commission announced the launch of an additional online search feature that is designed to enable investors to research whether the person trying to sell them [...] Read more
Proposed Best Interest Regulation In an April 18th Press Release from the Securities and Exchange Commission (SEC) they are seeking public comment (over the next 90 days following publication in the Federal Register) regarding two proposed rules [...] Read more
April 21 2018
SEC Fines Investment Adviser for False/Misleading Advertising Pursuant to an order issued April 16, 2018, the SEC (“Commission”) has fined registered Investment Adviser Arlington Capital Management, Inc. (“Arlington”) $125,000 for making false and misleading advertisements in violation the Investment Advisor’s [...] Read more