FINRA fines Ally Invest $850k over recordkeeping failures

FINRA fines Ally Invest $850k over recordkeeping failures

Jay Proffitt 11/18/25 Jay Proffitt 11/18/25

FINRA fines Ally Invest $850k over recordkeeping failures

New Jersey Court Expands Enforcement Tools in Securities Fraud Cases

Jay Proffitt 6/11/25 Jay Proffitt 6/11/25

New Jersey Court Expands Enforcement Tools in Securities Fraud Cases

Transforming Compliance: Why GiGCXOs’ AICompliance360 is the Game-Changer for Investment Advisers and Broker-Dealers

Jay Proffitt 12/3/24 Jay Proffitt 12/3/24

Transforming Compliance: Why GiGCXOs’ AICompliance360 is the Game-Changer for Investment Advisers and Broker-Dealers

Prevent Fines with GiGCXO's FiduciaryGuard360™: Your Essential Compliance Solution

Jay Proffitt 9/26/24 Jay Proffitt 9/26/24

Prevent Fines with GiGCXO's FiduciaryGuard360™: Your Essential Compliance Solution

How GiGCXOs' AI-Driven Compliance Software Can Help Broker-Dealers and Investment Advisers Avoid Fines for Misleading Advertisements

Jay Proffitt 9/6/24 Jay Proffitt 9/6/24

How GiGCXOs' AI-Driven Compliance Software Can Help Broker-Dealers and Investment Advisers Avoid Fines for Misleading Advertisements

GiGCXOs Welcomes Steve Maiello as an Independent Consultant

Jay Proffitt 9/5/24 Jay Proffitt 9/5/24

GiGCXOs Welcomes Steve Maiello as an Independent Consultant

Introducing the GiGCXOs Contractor Portal: Empowering Our Community of Independent Consultants

Jay Proffitt 9/4/24 Jay Proffitt 9/4/24

Introducing the GiGCXOs Contractor Portal: Empowering Our Community of Independent Consultants

Welcome, Steve Manning: A New Independent Consultant Joins GiGCXOs' Expert Team

Jay Proffitt 9/3/24 Jay Proffitt 9/3/24

Welcome, Steve Manning: A New Independent Consultant Joins GiGCXOs' Expert Team

Exciting Partnership Announcement: GiGCXOs Teams Up with Hadrius to Revolutionize Compliance Management.

Jay Proffitt 8/28/24 Jay Proffitt 8/28/24

Exciting Partnership Announcement: GiGCXOs Teams Up with Hadrius to Revolutionize Compliance Management.

Navigating the Path to Becoming a Special Purpose Broker-Dealer

Jay Proffitt 8/26/24 Jay Proffitt 8/26/24

Navigating the Path to Becoming a Special Purpose Broker-Dealer

Leveraging AI for Compliance: How GiGCXOs Can Help You Stay Ahead

Jay Proffitt 8/17/24 Jay Proffitt 8/17/24

Leveraging AI for Compliance: How GiGCXOs Can Help You Stay Ahead

Leveraging AI for Broker-Dealer and Investment Adviser Compliance: How GiGCXOs Can Help You Stay Ahead

FinCEN Proposes Major Updates to AML Rules

Jay Proffitt 8/15/24 Jay Proffitt 8/15/24

FinCEN Proposes Major Updates to AML Rules

Is your firm ready for the new proposed AML rules?