Brad Whalen (CRD #: 2582276), a broker registered with Green Vista Capital, is the subject of an investor dispute. This is according to his BrokerCheck […]
FINRA Rule 3310: Anti-Money Laundering Laws and the Threat to Securities Markets
Mar 30, 2022
Anti-Money Laundering
Anti-money laundering laws attempt to curb illicit transactions in the securities industry. Money laundering is one method criminals use to disguise the origins of their […]
The financial industry is built on trust. Unfortunately, brokers and brokerage firms often abuse that trust for their personal gain. Brokers should always act in […]
LJM Funds’ Management: E-mails Uncovered by the SEC Reveal Managers’ Campaign of Misinformation
Jun 19, 2021
Current Investigations
The SEC alleges in a May 2021 complaint that LJM Funds Management, along with LJM Preservation and Growth (a.k.a P&G Fund), suffered losses exceeding $1 […]