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Industry News & Information

January 21, 2025

SEC Recordkeeping Enforcement: $63M Fine Hits 12 Firms

The Securities and Exchange Commission (SEC) has recently intensified its enforcement of recordkeeping regulations, placing further scrutiny on the financial...

January 20, 2025

Harvest Volatility Management Strategy: Investor Losses and SEC Sanctions

Understanding Harvest Volatility Management Strategy ProblemsWhat is the Harvest Volatility Management Strategy?The Harvest Volatility Management Strategy, utilized by firms like...

January 19, 2025

Newbridge Securities: Regulatory Fines and Customer Complaints Revealed

Newbridge Securities Corporation, a brokerage firm and FINRA member, has recently faced numerous complaints and has come under scrutiny for...

January 18, 2025

Chuck Roberts with Stifel Boca Raton: Risky Investments and Client Disputes Exposed

Chuck A. Roberts, a financial advisor associated with Stifel, Nicolaus & Company, Incorporated, is under heat for allegations of misconduct...

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We’ll Get Started With These 3 Simple Steps

SEC Recordkeeping Enforcement: $63M Fine Hits 12 Firms

Harvest Volatility Management Strategy: Investor Losses and SEC Sanctions

Newbridge Securities: Regulatory Fines and Customer Complaints Revealed

Chuck Roberts with Stifel Boca Raton: Risky Investments and Client Disputes Exposed

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