This week the Washington Securities Division announced that it is considering an amendment to the Washington Administrative Code (“WAC”) to formally adopt the Statement of Policy.
An ex-Woodbury Financial advisor faces 10 felony counts as the industry and regulators keep working on getting better at detecting and preventing scams.
In efforts to keep financial and legal professionals apprised of the constantly evolving information in the world of senior and vulnerable investors, we are excited to share the news.