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FINRA ex-board member Kovack settles enforcement cases

Published: 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.

Source: financial-planning.com

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New YorkUnited StatesBill SingerBrianj KovackBernie MadoffRay PellecchiaNational Association Of Securities DealersCommission Division Of ExaminationsKovack FinancialLauderdale Based Kovack FinancialKovack SecuritiesKovack AdvisorsNational AssociationSecurities DealersFinancial PlanningRegulation And ComplianceFee Disclosures

FINRA scrutinizes firms that accepted PPP loans for possible rule violations

Published: January 23, 2021

Letters sent to reps ask for extensive information on why they applied for a loan, how funds were received and used, and all compensation under the federal program.

Source: financial-planning.com

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United StatesMax SchatzowStephen MurphyForeside Financial GroupSmall Business AssociationPaycheck Protection ProgramSanctuary Wealth GroupWells FargoFinancial PlanningNational CauseFinancial Crimes Detection ProgramsTargeted ExaminationWealth GroupKovack FinancialGeneos Wealth ManagementRegulatory Actions And ProgramsRegulation ComplianceBroker Dealersஒன்றுபட்டது மாநிலங்களில்ஸ்டீபன் மர்பிபொரெசிதே நிதி குழுசிறிய வணிக சங்கம்சம்பள காசோலை ப்ரொடெக்ஶந் ப்ரோக்ர்யாம்சரணாலயம் செல்வம் குழுகிணறுகள் ஃபார்கோ