Documents obtained by the UP reveal that some of Backer’s behavior at the Coral Springs Police Department was seen as misconduct by some of his former colleagues.
The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.
Securities and Exchange Commission SEC Division of Examinations announced 2023 examination priorities. The timing of announcement over month earlier than Division’s examination priority announcements in prior two years suggests return to normal following pandemic examinations.