Now that the dust has settled on the SEC’s enforcement action against fifteen (15) broker-dealers and an investment adviser for violations of SEC…
JD SupraAs the song goes, time keeps on slipping, slipping, slipping into the future. While Steve Miller may not have had FINRA and the SEC in mind when he...
JD SupraTake one look at your phone and count how many different message apps you have.  WhatsApp, Facebook Messenger, Snapchat, Telegram, Signal, iMessage.  Those are just some of the most popular
The U.S.-law firm of Hinshaw & Culbertson LLP is pleased to announce that Jorge D. Canamero has joined the firm as a partner in the firm’s Miami (Coral Gables) office. Jorge joins Hinshaw’s Insurance & Reinsurance practice, which offers a national platform of legal services, varied practice areas an…
JD SupraCHARLOTTE, N.C., Oct. 18, 2022 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisor Chris Albright of Astra Wealth Advisors has joined LPL Financial’s broker-dealer, RIA and custodial
JD SupraMark Torok Named Chief Executive Officer Mark Torok Headshot Al Hartman Named Executive Chairman Al Hartman Headshot Houston, TX, Oct. 18, 2022 (GLOBE NEWSWIRE) -- Hartman Short Term Income Properties XX, Inc. (the “Company”) a publicly registered non-traded real estate investment trust, on October…
HOUSTON, TEXAS, Oct. 18, 2022 (GLOBE NEWSWIRE) -- Majic Wheels Corp. (OTC: MJWL), a Wyoming-based holding company priming itself as a mainstay in the disruptive tech space through strategic mergers and...
Regulatory Developments - FinCEN Finalizes Rule Implementing Beneficial Ownership Reporting Requirements Under the Corporate...
JD SupraThe CEO of Digital World has been unable to secure the merger between his other SPAC, Benessere Capital (BENE), and eCombustible Energy
WccftechUniversity of Georgia Professor Cesar Escalante has been awarded the 2022 Ketchum Prize — the FINRA Investor Education Foundation’s highest honor — in recognition of his pioneering research
The Financial Industry Regulatory Authority (FINRA) Sanction Guidelines have been significantly revised, now giving FINRA discretion to impose considerably higher fines on mid- and large-size firms. T
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Ampio Pharmaceuticals, Inc. (NYSE American/OTC Pink: AMPE), today released the following letter to stockholders from its Chairman, Kevin Buchi, and Chief Executive Officer, Mike Martino.
Disaggregate ESG and how to do it
On October 6, FINRA issued Regulatory Notice 22-21, alerting member firms to the rising trend of fraudulent account transfers of customer accounts…
PR NewswireLOS ANGELES (PRWEB) October 14, 2022 Beacon Mergers & Acquisition (“Beacon”) is pleased to announce that it has entered into an agreement with US-based M&A Advisor KEMA Partners LLC (“KEMA”). Car
In response to the sudden changes brought about by the pandemic, Whitlock Wealth Management launched a weekly webinar in April 2020 to provide timely market updates and insights, along with relevant educational topics. As the webinar progressed, the focus, format, and structure of our presentation e…
PR NewswireAMSYS and Fair Bank are emphasizing the importance of registering and exercising the right to vote leading up to Election Day on Tuesday, November 8th
/PRNewswire/ -- New York Life Investments today announced the departure of Yie-Hsin Hung from the Board of Trustees of the MainStay MacKay DefinedTerm...
PR Newswire/PRNewswire/ -- Sanctuary Wealth, home to the next generation of elite advisors, further expands its network with the addition of Upland Private Wealth to the...
PR NewswireGetting sound advice can mean the difference between growing your wealth and wasting it. But finding an honest, competent planner requires some work.
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