State Regulators – The State-by-State Resource for Victimized Seniors

Stockbroker Law - Wednesday, July 19, 2017
State Regulators – The State-by-State Resource for Victimized Seniors

Where do North American investors go when looking for their state or province specific securities regulators? The organization ServeOurSeniors ..

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SEC Whistleblower Award of More Than One Half Million Dollars Paid to Whistleblower Insider

Stockbroker Law - Thursday, July 06, 2017
SEC Whistleblower Award of More Than One Half Million Dollars Paid to Whistleblower Insider

In a Press Release dated May 2, 2017, the SEC announced the payment of a Whistleblower award in excess of one half million dollars to a company em ..

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FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizens

Stockbroker Law - Wednesday, May 24, 2017
FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizens

The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 17-11 (http://www.finra.org/sites/default/files/notice_doc_file_ref/R ..

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FINRA Warns Brokers on Social Media and Digital Communications

Stockbroker Law - Tuesday, May 16, 2017
FINRA Warns Brokers on Social Media and Digital Communications

In Regulatory Notice 17-18, the Financial Industry Regulatory Authority (FINRA) issued addressed the obligations of FINRA member firms and persons ..

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Trends in Supervisory and Clearing Firm Liability

Stockbroker Law - Thursday, May 04, 2017
Trends in Supervisory and Clearing Firm Liability

On April 6, 2017, Tim O’Connor presented at the 2017 Securities Arbitration and Mediation Continuing Legal Education Presentation of the New Yor ..

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