FINRA Fines CIM Securities $70,000 for Multiple Securities Violations

January 9, 2025

Former Western International Broker Settles SEC Charges for $2.1 Million

December 11, 2024

Navigating New Regulations: How Financial Advisers Can Prepare for Upcoming Compliance Challenges

November 19, 2024

SEC Charges Broker-Dealer First Horizon With Reg BI Violations

September 23, 2024

Navigating Reg BI: Strategies for Smaller Firms to Stay Compliant

July 31, 2024

Navigating the Complexities of Reg BI: What Financial Advisers Need to Know

July 3, 2024

GWG Reorganization Plan Confirmed by Bankruptcy Court; All Securities Cancelled

August 3, 2023

GWG Secures Debtor-In-Possession Loan

December 21, 2022

GWG Holdings Appoints New CFO

December 19, 2022

GWG Former President and CEO Resigns from Board

December 6, 2022

GWG Directors Jump Ship

November 23, 2022

GWG’s Board Suspended by Bankruptcy Court

November 21, 2022

GWG Senior Execs Resign Amidst Bankruptcy

November 15, 2022

CFP Board Suspends Broker Accused of Violating Reg BI with Improper GWG Bond Sales

June 30, 2022

SEC Alleges Western and Five Brokers Violated Reg BI with Improper GWG Bond Sales

June 17, 2022

FINRA Report Highlights Compliance Deficiencies of Regulation Best Interest and Form CRS

February 14, 2022

XY Planning Nixes Supreme Court Challenge of Reg BI, Plans to Take Fiduciary Fight to States

October 13, 2020

XY Planning Network Considers Further Legal Challenges to SEC’s Regulation Best Interest

June 30, 2020

SEC Approves Investment Advice Rule Package

June 6, 2019

DOL to Propose New Fiduciary Rule in December, SEC to Vote on Regulation BI Next Month

May 24, 2019