Tag Archives: Compliance

Do Not Call Compliance for Your Company

Telemarketing is an important marketing tactic.  It’s popular because it works.  However, with the rise in legislation surrounding telemarketing it is equally important that you and your company stay in compliance.  Otherwise, you could be hit with large fines that … Continue reading

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Houston Firms Charged for Undisclosed Transactions

The SEC has charged two investment firms in Houston, Parallax Investments LLC and Tri-Star Advisors, along with three of their executives, for “engineering thousands of principal transactions” through a brokerage firm they are affiliated with without disclosing it to their clients. … Continue reading

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