Carl Ayers
Respondent shall, within 10 days of the entry of this Order, pay a civil money penalty in the amount of $97,523 to the Securities and ...
Mighty Oak Strong America failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted ...
Medallion Wealth failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm ...
MFM was further required to deliver its Form CRS to existing retail investor clients by July 30, 2020. The firm failed to file and deliver ...
Bysko failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm regarding ...
This matter involves Harold Davidson’s failure to file with the Commission and to deliver to retail investor clients its Form CRS. Harold Davidson was required ...
Embree Financial Group was further required to deliver its Form CRS to existing retail investor clients by July 30, 2020. The firm failed to file ...
EXAMS contacted Eastside Financial’s Chief Compliance Officer by email on October 14, 2020 to alert him that the firm had failed to file Form CRS. ...
The firm failed to file and deliver Form CRS by these deadlines, not becoming compliant until in or after late January 2021
Cohen Klingenstein failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm ...