The SEC has recently issued an Investor Alert regarding commentary provided about investors from what appear to be independent sources. It turns out, many of those independent sources are
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Joshua Horn
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FINRA Is Sanctioning What
By Joshua Horn on
In Notice to Members 17-13, FINRA announced changes to its sanction guidelines. In other words, FINRA has listed its new top hits that it is pursuing. Two items bear…
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Pastor Fraud, Say It Isn’t So
By Joshua Horn on
The SEC recently announced fraud charges, and sought an emergency asset freeze against a pastor who was accused of exploiting church members, retirees, and laid-off autoworkers. Apparently, he mislead these…
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So I Guess It Is All About The Seniors
By Joshua Horn on
Contrary to what the title may suggest, I am not referring to students who are about to graduate from high school or college. Instead, this post is about that group…
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So You Want To Invest In A Cannabis Business…
By Joshua Horn on
Many people see the green of cannabis as a way to the pot of gold at the end of the rainbow. If you are going to invest in a legal…
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What Should You Take Away From The SEC’s Investor Bulletin
By Joshua Horn on
The SEC recently published its latest investor bulletin. The SEC publishes these from time to time to bring awareness to the investing public on certain issues.
The current bulletin notes…
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FINRA, A/K/A the Fine Machine
By Joshua Horn on
According to a recent report of the Eversheds Sutherland firm, 2016 was a banner year for FINRA-assessed fines. FINRA collected a record $176 million in 2016. So what gives?
The…
What Do The SEC and Robo-Advisors Have In Common
By Joshua Horn on
The SEC recently issued regulatory guidance for robo-advisors. This guidance focuses on what robo-advisors must do to meet their disclosure obligations.
Among other things, the SEC has recommended robust disclosures…
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Compliance Issues The SEC Is Seeing
By Joshua Horn on
The Office of Compliance Inspections and Examinations (or OCIE) recently issued a Risk Alert that identified the five most frequent compliance topics that arising from OCIE examinations. These compliance topics…
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One Man’s Rogue Broker Is Another Man’s Treasure
By Joshua Horn on
Like it has in the past, FINRA is sharply focused on examining brokers with a disciplinary past, including the identification and examination of such brokers being placed at the top…
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