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Red Oak Blog

News that affects your business and ours.
Cost of Fraud On February 13, 2019 the Securities Commissioner of the State of Colorado entered a final order revoking the registration of Leyenda Capital Partners, LLC and permanently barring its managing member, Jeffrey Francis Thompson, [...] Read more
FINRA Conference May 15-17 – Meet Red Oak’s Team Red Oak Compliance Software (“Red Oak”), the leading provider of advertising review software for the financial services industry, will be an exhibiting partner at the upcoming 2019 FINRA Annual Conference in Washington, DC. [...] Read more
FINRA Notice to Members – More Than Just Rules For those who are not aware, as a registered broker dealer there is more than just the FINRA Rules with which you must remain in compliance. Most are aware, but some may not [...] Read more
Too Good to Be True On August 9, 2019, the SEC brought a civil enforcement action against Gonzalo Ortiz. Ortiz, who has no securities licenses and has never been affiliated with a broker-dealer or investment adviser, allegedly lured [...] Read more
Investment Adviser as Fiduciary Fiduciary The common law definition of a fiduciary is one who has the obligation to act for another with “total trust, good faith, and honesty.” The Employee Retirement Income Security Act (the definition [...] Read more