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October 25, 2023
/PRNewswire/ -- Pontera, the fintech company helping retirement savers receive professional 401(k) management from their trusted financial advisor, and Kovack...
October 7, 2023
The South Dakota Supreme Court heard oral arguments Thursday on four cases at the University of South Dakota Knudson School of Law in Vermillion.
October 5, 2023
The South Dakota Supreme Court will hear oral arguments on four cases Thursday at the University of South Dakota Knudson School of Law in Vermillion.
September 7, 2022
Midsize wealth manager Kovack Securities and its CEO settled two matters last month dating to his time as a member of FINRA's Board of Governors.
August 25, 2022
FINRA argued Florida-based Kovack Securities failed to supervise a former rep's allegedly inappropriate short-term mutual fund share trades.
August 24, 2022
In Georgia federal appeals court, a case is unfolding in which a broker's alleged conduct offers a "road map" for avoiding a FINRA award, according to PIABA.