Ransomware is an ever increasing problem. To learn more about it and to avoid its impact, check out this blog.
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Financial Industry Trends
What Are You Doing About Outside Business Disclosures?
By Joshua Horn on
FINRA is currently reviewing its rules regarding outside business activities and private securities transactions. From time to time, FINRA reviews its rules and application of those rules to see if…
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So You Want To Change Firms — Part II
By Joshua Horn on
So you really want to change firms. Do you have a restrictive covenant or a non-compete? If so, your transition may be a little more complicated. To learn what restrictions…
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So You Want To Change Firms
By Joshua Horn on
One certainty in the brokerage world is that registered representatives often switch from one member firm to another. There is nothing wrong with the switch, but there is a…
You Better Watch Your Suitability Determinations
By Joshua Horn on
The SEC recently announced that it charged a former broker with knowingly or recklessly trading unsuitable investment products for five customers and taking $170,000 for one of those customers. These…
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When Independent Commentary Isn’t
By Joshua Horn on
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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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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