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Dual Registrants

Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers
Morgan Stanley charged with falling "woefully short" in the firm's PII protection efforts
The SEC simultaneously announced three enforcement actions against firms for violating the identity theft red flags rule
During the SEC's investigation, Aegis Capital revised its WSPs to prohibit the firm from purchasing VSRPs for retail customers
Enforcement is sending a "loud and clear message" to other registrants that AML obligations are sacrosanct
This two-page questionnaire can be used by staff to alert you to their outside business activity
JW Korth did not disclose before the completion of each transaction the capacity in which it was acting
Each of the firms were charged with Regulation S-P violations
None of the Cetera entities accounts had multi-factor authentication turned on
Cantella's interests were in conflict with its advisory clients' interests

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