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

FINRA Fines Broker-Dealer and CEO for Misleading Investors

October 18, 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

FINRA Orders Merrill Lynch to Pay Nearly $1.5 Million in Restitution for Supervisory Failures

July 5, 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

SEC and FINRA to Host Online Forum on Regulation Best Interest Implementation

October 19, 2020

SEC and FINRA to Hold Roundtable on Regulation Best Interest and Form CRS

September 29, 2020

Democrats Vow to Reverse SEC’s Regulation BI in Draft Party Platform

July 27, 2020