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Red Oak Blog

News that affects your business and ours.
 
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
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