An investment adviser settled SEC charges for failure to (i) disclose conflicts of interest related to its ownership of special purpose acquisition companies and (ii) file timely and accurate reports.

A broker-dealer settled FINRA charges for failing to disclose the disciplinary history of the firm and the disciplinary history of several of its representatives as required by Form CRS.

A broker-dealer settled FINRA charges for submitting customer relationship summaries that contained inaccurate information on disciplinary history.

A broker-dealer settled FINRA charges for failing to timely deliver customer relationship summaries to retail customers and failing to have adequate written supervisory procedures to ensure compliance with Regulation Best Interest.

A broker-dealer settled FINRA charges for failure to establish written and supervisory procedures to ensure compliance with Regulation Best Interest and customer relationship summary requirements.