Portfolio Advisors Alliance Sanctioned by Regulators for Failed Due Diligence
Portfolio Advisors Alliance, Inc. (Portfolio) was sanction by securities regulators, in part, due to Portfolio’s failure to perform due diligence concerning private placements, according to a settlement agreement entered into by Portfolio and the Financial Industry Regulatory Authority (FINRA). The Peiffer Rosca securities lawyers often represent...
28 February, 2014