Month: July 2021

SEC Fines 27 Investment Advisers for Form CRS Issues

By Robert D. Conca — posted in Investment Advisers & Private Funds, Regulatory Enforcement & Investigations on Wednesday, July 28, 2021.

Disciplinary Actions Financial Advisors Investment Advisers SEC

The SEC’s Division of Enforcement announced action against a whopping 27 investment advisers in connection with issues relating to the…

Expected Presidential Order Likely to Limit Use Of Non-Compete Agreements And The Potential Impact On Broker Transitions

By Erwin J. Shustak — posted in Financial Advisor & Broker Disputes on Friday, July 9, 2021.

Financial Advisors

On Wednesday July 7th, the White House announced President Biden intends to issue a Presidential Executive Order limiting the use…