Know News
is a curated selection of the latest news from Patrina and leading sources relating to SEC and FINRA compliant archiving regulations.
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Know News Archives
March 4, 2021
LPL Financial Services LLC has agreed to pay the Financial Industry Regulatory Authority (FINRA) $6,500,000 in response to an AWC censuring and fining the firm. In […]
February 24, 2021
What’s the Financial Industry Regulatory Authority (FINRA) looking at this year? Much of the same, according to the recently released Risk Monitoring and Examination Activities Report. […]
February 18, 2021
This is a case of a wealth advisor doing the right thing for a client by delivering bad news. In a story reported by Joh Kador […]
February 10, 2021
Forget about GameStop and Redditt. This week, the Securities and Exchange Commission (SEC) charged three individuals and their affiliated entities with running a Ponzi-like scheme that […]
February 4, 2021
Writing recently in Wealth Management magazine, Patrick Donachie reported that a new commission established by the Certified Financial Planner Board of Standards (CFP) will reexamine the […]
January 27, 2021
Is there a common theme among financial statement fraud schemes? Maybe according to the Anti-Fraud Collaboration (AFC), which issued a study this month to classify common […]
January 20, 2021
In a complaint unsealed just last week, the Securities and Exchange Commission (SEC) charged Justin Robert King and his advisory firm Elevate Investments, LLC with ongoing […]
January 13, 2021
‘Twas three nights before Christmas and all through the house…WAIT!!! While you may have been out celebrating the holiday week and preparing to ring in a […]
