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FINRA Set to Enhance Public Records Review Beginning July 9th, FINRA will be launching an enhanced disclosure review process for public financial records of individuals seeking registration with a brokerage firm. This review will be performed with 15 calendar days [...] Read more
Crypto Investment – Many Questions Remain With the rapid growth of the crypto currency industry, many questions remain. One primary concern is just how are coins/tokens being issued, distributed and sold and how are federal securities laws being applied [...] Read more
June 16 2018
LPL Settles with State Securities Regulators for $26 Million State securities regulators in Alabama and Massachusetts led an investigation into LPL Financial LLC’s (“LPL”) failure to establish and maintain policies and procedures to prevent the sale of unregistered, non-exempt securities. The regulators [...] Read more
SEC Launches Sample ICO Website The world of cryptocurrencies is wrought by “a persistently expanding exploitation of the crypto ecosystem by fraudsters.” So much so that the North American Securities Administrators Association (NASAA) recently announced one of the [...] Read more
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