Conflicts of Interest

One of the priorities of the SEC National Examination Program is dual registrants; entities that provide both brokerage and investment advisory services.  The focus of the program on dual registrants
Continue Reading Do You Really Want To Be A Dual Registrant

The Sutherland Asbill firm recently released its report regarding FINRA enforcement actions. In all, the report reflects that enforcement actions and fines decreased over the past year.  So what does
Continue Reading Should You Breath Easy Because FINRA Enforcement Actions And Fines Decreased In 2013