It all started with a customer complaint. In some situations, such a complaint can trigger an investigation by the Financial Industry Regulatory Authority (FINRA), which, in a recent case, was sufficient to warrant such action. FINRA began its investigation against...
Month: November 2021
Feds target brokers who sought COVID relief funds: 3 things to know
The pandemic and resulting stay-at-home orders were crippling for businesses throughout the nation. The federal government provided a number of different financial programs in an effort to help entrepreneurs stay afloat during these difficult times. Each program had...
A tweet that could lead to prison. SEC goes after man for misusing Twitter.
Misuse of social media is not a new issue. The possibility of social media postings leading to allegations of criminal wrongdoing — also not a new idea. What is relatively new is the idea that the United States Securities and Exchange Commission (SEC) would go after a...