The Securities and Exchange Commission will begin a review of the digital engagement practices (DEPs) used by broker-dealers and investment advisors in the financial industry. The action was announced Friday by the SEC, which said it is soliciting public comment on...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: August 2021
Veteran broker with J.P. Morgan Advisors leaves firm following customer complaints
A veteran broker with J.P. Morgan Advisors in San Francisco is no longer with the company following a series of complaints from customers, AdvisorHub reports. Edward L. Turley had been the subject of five claims that amounted to over $62 million since the start of the...
CFP Board adopts set of strategic priorities for the next 5 years
The Certified Financial Planner Board of Standards has developed a set of priorities that will guide its operations for the next five years, according to their press release. The CFP Board announced that the framework for its new strategic plan was adopted by the...
Co-owner of Chattanooga minor league baseball team charged with operating Ponzi scheme
John Woods, an Atlanta financier and part-owner of the, Chattanooga Lookouts minor league baseball team, has been charged with running a massive Ponzi scheme for over a decade, WTVC in Chattanooga reports. In a complaint filed in federal court, the Securities and...
San Antonio investment advisor charged with defrauding investors in $58 million scheme
A San Antonio investment advisor has been charged with operating a scheme to defraud nearly 300 investors and misappropriate some of their funds for his own personal expenses, according to ThinkAdvisor. Robert J. Mueller, deeproot Funds LLC, and Policy Services Inc....
