Posts tagged Tennessee Securities Division.

In a recent new release, the Tennessee Securities Division urged investors to ask tough questions of their investment advisors, and about their compensation, account arrangements and educational / regulatory history.

The May 26 release is here.

SEC-registered investment advisors are required to provide the answers to those (and other) questions on their ADV Part 2, which is kept on file with the SEC and publicly-available through the Commission's IA Public Disclosure Portal, here. Information on registered broker-dealers and their associated persons is available through ...

Posted in: FINRA, SEC, Tennessee

The Securities Division of the Tennessee Department of Commerce and Insurance issued a May 2 press release encouraging consumers to report financial-services misconduct to its Financial Services Investigations Unit.

"The FSIU investigates complaints involving allegations of securities and insurance fraud and other violations of the Tennessee Securities and Insurance Acts," said TDCI Assistant Commissioner for Securities Frank Borger-Gilligan. "Common violations include: fraud, misappropriation of funds, misrepresentations, unregistered or unlicensed ...
Posted in: Tennessee
The Tennessee Securities Division, Department of Commerce and Insurance (Julie Mix McPeak, Comm'r) recently confirmed its launch of a comprehensive three-year cycle examination program covering all Tennessee-based broker-dealers and state-registered investment advisers. The examinations will be "desk-examinations" requiring registrants to provide detailed documentation in response to some 18 categories of inquiry designed to ferret out non-compliant firms or "red flags" that may indicate regulatory violations. Unresolved issues or red flags will trigger ...
Posted in: Tennessee
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