Author: Kevin Flannery

The S.E.C. recently initiated legal action to restrain Jeffrey Higgins—who was previously registered as an investment adviser representative with Western International Securities, Inc. in Baker City, Oregon—from continuing to commit

The S.E.C. recently censured and fined two registered investment adviser firms, finding that they breached their non-waivable fiduciary duties to their clients by attempting to prospectively limit their potential liability