Providing advice that favored his own interests over his client to obtain $20M in financing is among the #SEC charges against the founder of #ETF Managers Group & Exchange Traded Managers Group. For more: buff.ly/43SvFYd #Elinphant #Elinphantbit #Softek #softekbit

Failing to properly maintain communications because workers were using unauthorized apps like #WhatsApp leads to 11 brokerages & investment firms paying $549M in #fines: #NewYorkTimes. For more: buff.ly/3OsX2Cp #Elinphant #Elinphantbit #Softek #softekbit #compliance

Expunging customer complaints on a request by a #broker will have to be approved by a special panel starting Oct. 16, under new rules adopted by #FINRA. Requests must be made within 2 years. For more: buff.ly/3OVZa7a #Elinphant #Elinphantbit #Softek #softekbit

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🗣 SKO BUFFS Colorado Buffaloes Football handles Nebraska in Boulder 💪🦬

We win.

Colorado Buffaloes Football

EXCLUSIVE: After speaking to sources and gathering intel, I’ve officially logged a prediction for five star accounting student Andrew Cherry to attend graduate school at Notre Dame. A commitment date is unknown, but is thought to be soon.

NASCAR Lightning McQueen finish at its best

BUFFS ADVANCE 🦬 #GoBuffs | #MarchMadness

It's a GREAT day to be a Buff 😄🦬

"We're not going to be the crew that pretends we're in New York when we're in New Jersey. We're going to show you New Jersey." - Ian Eagle.

#goblue

Past mistakes don’t disappear — they shape us. Reading Theo of Golden reminded me: on Wall Street, decisions and missteps leave marks that last. #ComplianceCulture #PrinciplesInPractice #TheoOfGolden #AllenLevi

'Tis the season of giving ... so we've got some 🎁's to give away! RT for your chance to win a stadium exclusive mini-cooler cup. And stay tuned for more opportunities to win! 👀