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SEC and FINRA Schedule National Compliance Outreach Program for Broker-Dealers

The Securities and Exchange Commission and the Financial Industry Regulatory Authority have opened registration for their 2019 National Compliance Outreach Program for broker-dealers, which...

Texas Fines LPL Financial $450,000 for Selling Unregistered Securities

LPL Financial LLC, the nation’s largest independent broker-dealer, was fined $450,000 by the State of Texas and ordered to repurchase certain securities it sold...

GPB Capital Hires In-House Communications Executive

GPB Capital Holdings LLC, a New York-based alternative asset management firm, has hired Brian Weisenberger as managing director to lead the firm’s new in-house...

GPB Capital Hires Former SEC Examiner as Managing Director and Chief...

GPB Capital Holdings LLC, a New York-based alternative asset management firm, has hired Michael Cohn as managing director and chief compliance officer. Cohn was...

Artivest Hires Kamal Jafarnia as General Counsel and Chief Compliance Officer

Artivest, an alternative investment technology firm, has hired 25-year industry veteran Kamal Jafarnia as general counsel and chief compliance officer. Jafarnia has advised numerous...