SANTA CLARA, Calif. and FORT LAUDERDALE, Fla., June 24, 2021 /PRNewswire/ -- Entreda, an award-winning developer of integrated cybersecurity software and solutions for the wealth management and ...

The agency charged the firm with failing to monitor whether wrap-fee accounts were in the best interests of clients who did little trading. By Mark Schoeff Jr. Set it and forget it isn't a good ...

Registered investment advisor Kovack Advisors has been ordered to pay $899,513 by the SEC for failing to review the suitability of wrap account programs for its clients. The monetary penalty and other ...

A Florida-based brokerage firm has settled charges with the Financial Industry Regulatory Authority for failing to supervise one of its registered reps who inappropriately recommended short-term ...

Fort Lauderdale, Fla.-based Kovack Securities, a mid-sized independent broker/dealer with about 400 advisors, has acquired the assets of TKG Financial, a small firm in Santa Barbara, Calif., with ...

Kovack's office policy on paying for personal copies is to put the five cents a page into a coffee can that is periodically emptied and deposited into the general fund without specific record keeping, ...