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What Is The SEC Focusing On In 2021? | My RIA Lawyer

What is the SEC focusing on in 2021?

What is the SEC focusing on in 2021? You may be wondering if you are on the list for an 

Law Without Penalty Is Advice. | Suite 1500, Atlanta, GA 30339

“Law Without Penalty Is Advice.”

The Securities and Exchange Commission (SEC) recently made an announcement regarding Interactive...
What Violations Are Catching FINRA’s Attention? | Atlanta, GA 30339

What violations are catching FINRA’s attention?

Quarantine doesn’t slow down suitability violations. FINRA is consistent in their review of...
Money Laundering In The Securities Industry | Atlanta, GA 30339

FINRA’s Podcast Beyond Hollywood: Money Laundering in the Securities Industry

Note: This story originally appeared on FINRA. You may read it here. Anybody remember the movie...

FINRA Requiring Encryption of Laptops

I recently was approached by a financial adviser looking for a referral for someone who could help...

Sanction Guidelines Revised

FINRA, through the National Adjudicatory Council (NAC), has reviewed and revised the Sanction...
The Vulnerability of Baby Boomers

The Vulnerability of Baby Boomers

Unfortunately, the financial exploitation of senior investors is not uncommon. Senior investors...

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