Tag: SEC
Whistleblower Protection Rule
What is the Whistleblower Protection Act? The Whistleblower Protection Act in the United States serves as a critical legal safeguard for...
Laidlaw & Co Sanctioned for Churning Violations
Laidlaw Reps and Firm agree to pay $1 Million for Allegedly Churning Client Accounts According to the SEC on November 20, 2023, the...
How to File a Complaint against your Broker
If you have a Dispute with your Broker Whether you realized it at the time or not, when you established your brokerage account, you likely...
Fastest Growing Independent Broker-Dealers
The Ten Fastest Growing Independent Broker-Dealers in 2022 According to Investment News, the following brokerage firms are the top ten...
FINRA BrokerCheck to Flag “Restricted Firms”
The SEC Approves new Designation on FINRA’s BrokerCheck of “Restricted Firm” According to reports this week, the...
FINRA ups its Game with Reg BI Enforcement
FINRA Sanctions Laidlaw Brokers for violation REG BI in Excessive Trading Case According to an article this week in Financial Planning,...
