Herskovits PLLC
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- FINRA FINES AND SUSPENDS REGISTERED REPRESENTATIVE FOR FACEBOOK POSTS
16 December 2022 - FINRA PROVIDES GUIDANCE ON FINANCIAL ADVISOR SUCCESSION PLANS
10 November 2022 - ARE RETIRING FA SUNSET PLANS RIFE WITH ABUSE?
7 October 2022 - FINRA RULES EX PARTE TEMPORARY RESTRAINING ORDER RESULTS IN STATUTORY DISQUALIFICATION
4 October 2022 - SEC ANNOUNCES EXAMINATION FOCUS ON NEW RIA MARKETING RULE
30 September 2022 - SEC CHARGES INVESTMENT ADVISER FOR FAILING TO DISCLOSE SPAC-RELATED CONFLICTS
16 September 2022 - FINRA AWC PROVIDES A PRIMER ON ACTIVITIES VIEWED AS AML RED FLAGS
1 September 2022 - FINRA RELEASES GUIDANCE ON SUPERVISION RELATING TO DIGITAL SIGNATURES
12 August 2022 - SEC CHARGES CONVERTIBLE NOTE DEALER WITH FAILURE TO REGISTER
4 August 2022
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