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並前往https://riabiz.com/a/2021/10/26/rias-may-face-ticking-time-bomb-after-sec-slams-a-19-billion-ria-for-neglecting-orphan-accounts-while-charging-fees-a-problem-that-may-be-industrywide

RIAs may face ticking time bomb after SEC slams a $1.9 ...

The Securities and Exchange Commission (SEC) penalized Regal Investment Advisors, a $1.9-billion Michigan RIA, nearly $1 million for an offense ...

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