If you are connected in any way with securities, you MUST read this! I’ve been working with clients who are under the SEC’s purview. To stay successful, abide by the rules and keep abreast of changes. Here’s the story…
Earlier this month, the SEC’s Division of Enforcement alleges that Anthony Fields, of Lyons, Ill., offered more than $500 billion in fictitious securities through various social media websites, including professional networking site LinkedIn. Fields provided false and misleading information concerning his assets, failed to maintain required books and records and did not implement adequate compliance policies and procedures, according to the SEC.
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