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Jul 7th, 2017
After a long, checkered career, Clay Hoffman has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). According to FINRA, Mr. Hoffman […]
Jul 6th, 2017
The Financial Industry Regulatory Authority (FINRA) has really thrown the book at David Elgart of Sequoia Investments for “willfully failing” to disclose over $400,000 in tax […]
Jul 6th, 2017
It’s really pretty simple. There are two types of investment accounts, accounts where the advisor has to ask permission before placing trades (non-discretionary) and accounts where […]