SEC: Three Investment Adviser Representatives Settle SEC Charges for Acting as Unregistered Brokers
January 16, 2025
January 16, 2025
WASHINGTON, Jan. 16 -- The Securities and Exchange Commission issued the following news release on Jan. 14, 2025:
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Advisory firm VCP Financial separately settles charges for requiring retail clients to improperly execute liability disclaimers
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The Securities and Exchange Commission today announced settled charges against investment adviser representatives Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr. for acting as unregis . . .
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Advisory firm VCP Financial separately settles charges for requiring retail clients to improperly execute liability disclaimers
* * *
The Securities and Exchange Commission today announced settled charges against investment adviser representatives Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr. for acting as unregis . . .