Dawson James Securities failed to retain more than 10,000 business-related texts, including consumer complaints and client conversations, over 10 years, according to FINRA.
This new law, which took effect Jan. 1. 2o24, was enacted to help prevent and combat money laundering, terrorist financing, corruption, tax fraud and other illicit activity. It requires corporations, limited liability companies and other filing...
According to J.D. Power’s annual survey on self-directed investors, Fidelity took the top marks for DIY investors seeking guidance, with Charles Schwab following closely behind.
