JP Morgan to Pay $151 Million to Resolve SEC Enforcement Actions

November 1, 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

SEC Charges and Fines 12 More Firms for Failing to Meet Form CRS Obligations

February 16, 2022

SEC Fines Dozens of Financial Firms for Missing Form CRS Filing Deadlines

July 28, 2021

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

Docupace Launches New Regulation Best Interest Compliance Service

April 10, 2020

FINRA Releases Questions for SEC’s Reg BI Compliance Review

January 14, 2020

SEC Approves Investment Advice Rule Package

June 6, 2019

DOL to Propose New Fiduciary Rule in December, SEC to Vote on Regulation BI Next Month

May 24, 2019

Secretary Acosta Says DOL Will Release New Fiduciary Rule in Conjunction with SEC

May 2, 2019