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  1. James Langton
    Won Sang Shen Cho is permanently banned from trading and purchasing securities
  2. James Langton
    The country’s current securities laws, which were passed before the advent of robo-advisors, require that only a “natural person” can give advice
  3. James Langton
    Draft guidance aims to help firms use clawbacks and other tools to deter misconduct in the financial industry
  4. Associated Press
    Four former executives have also been charged
  5. IE Staff now designed for visitors using mobile devices and tablets
  6. James Langton
    Various jurisdictions are undertaking reforms
  7. James Langton
    The IAP’s seven new members are Neil Gross, Malcolm Heins, Paul Bates, Jacqueline Allen, Larry Bates, Patti Best and Harvey Naglie
  8. James Langton
    Thanks to new evidence, Ravindra Kumar Suppal’s fine was reduced to $50,000 from $150,000 and his suspension was reversed
  9. James Langton
    Applications are due by June 30
  10. James Langton
    The former rep reached a settlement with the regulator, admitting to violating several investment industry rules