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REGISTRATION VIOLATIONS | UNSUITABLE EXEMPT MARKET SECURITIES AND RECORDKEEPING VIOLATIONS | PERSONAL FINANCIAL DEALINGS WITH CLIENTS...

You’ve just received the dreaded letter from the regulator notifying you of an upcoming audit. Furthermore, the timing couldn’t be worse:...

On November 15, 2022, the SEC released it’s enforcement results for fiscal year 2022 with a total of 760 enforcement actions including:...