Author: D. Daxton White
Ray Lucia, Sr. charged by SEC for allegedly misleading investors.
According to reports, Ray Lucia Sr. has been charged by the Securities and Exchange Commission for spreading misleading information about...
Financial Advisor sued by professional athletes / former clients.
According to reports, several professional athletes are suing their former financial advisor, William Crafton, Jr., as well as various...
JOBS Act Impact on Hedge Fund Advertising
According to reports, hedge funds may soon be able to go from soliciting individual investors behind closed doors to conducting wide...
FINRA fines Rodman & Renshaw
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory...
CFP Revocations Announced
According to a report in Financial Advisor magazine, the Certified Financial Planner Board revoked the Certified Financial Planner mark...
