Did You Know…?

As an independent firm we focus on putting the best interests of our clients above all else. It is important that our industry maintain standards for transparency and ethics. The latest example of this is the SEC Action Looking for Individuals (SALI). The searchable database will help identify registered and unregistered individuals who have been parties to past SEC enforcement actions and against whom federal courts have entered judgments or the SEC has issued orders. Click here to read the SEC announcement.

This entry was posted in $1$s. Bookmark the permalink.

Leave a Reply

Your email address will not be published. Required fields are marked *