Month: August 2021
Herbert J Sims & Co. to Pay $250,000 for Structured Products
SEC censures and fines Herbert J Sims and Co., Boca Raton, FL According to an SEC order on July 30, the regulator has initiated a cease and...
SEC Approves FINRA Rule Change to Protect Investors from Rogue Brokers
FINRA Rule Change will Protect Investors from High Risk Firms, Broker Misconduct According to The Securities and Exchange Commission on...