For those who are not aware, as a registered broker dealer there is more than just the FINRA Rules with which you must remain in compliance. Most are aware, but…

On August 9, 2019, the SEC brought a civil enforcement action against Gonzalo Ortiz. Ortiz, who has no securities licenses and has never been affiliated with a broker-dealer or investment…

Fiduciary The common law definition of a fiduciary is one who has the obligation to act for another with “total trust, good faith, and honesty.” The Employee Retirement Income Security…

Cryptocurrency scams are alive and well and continue to target unwitting individuals with their malicious schemes. In September of last year, the Texas State Securities Board issued a cease and…

If you have yet to submit, or at least begin, your annual amendment, time is running out. Remember, whether you are State or SEC registered, your annual amendment is due…

Supervision of 529 Savings Plans has become a major focus of FINRA. FINRA has launched a 529 Plan Share Class initiative intended to motivate compliance of 529 Plan rules. FINRA…