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Tag Archives: advisors
On Proxy Advisors and Important Issues for Investors in 2019
Posted by Rick A. Fleming, U.S. Securities and Exchange Commission, on Sunday, April 21, 2019 Editor's Note: Rick A. Fleming is an Investor Advocate with the U.S. Securities and Exchange Commission. This post is based on Mr. Fleming’s recent remarks at SEC … Continue reading
SEC Takes Aim at Unregistered Advisors in New Alert
Hoping to clean up the reputation of a profession that suffers from what seems like an unusual number of imposters and scam artists, the SEC has announced that it will be enlisting the help of investors to identify phony stock … Continue reading
Canadian Association of Farm Advisors (CAFA) – 2019 Cultivating Business guide released
The Canadian Association of Farm Advisors (CAFA) has released its 2018-2019 Cultivating Business guide. In addition to articles on topics of interest to farmers and farm advisors, the guide contains listings of CAFA-certified farm advisors from across Canada. Read more … Continue reading
Posted in Environmental Law
Tagged 2019, advisors, Association, Business, CAFA, Canadian, Cultivating, farm, Guide, released
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Former Cetera Advisors Broker Scott Kozak Accused of Selling Unapproved Securities
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Scott Kozak (Kozak), formerly associated with Cetera Advisors LLC (Cetera) in Highlands Ranch, Colorado has been accused by his former firm and barred by FINRA over … Continue reading
Posted in Securities Law
Tagged accused, advisors, Broker, Cetera, Former, Kozak, Scott, Securities, selling, Unapproved
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