Stop and Stop Limit Orders – FINRA Regulatory Notice 12-50

Stockbroker Law - Monday, March 25, 2013
Stop and Stop Limit Orders – FINRA Regulatory Notice 12-50

The Securities and Exchange Commission has approved amendments relating to stop orders in customer accounts, with an effective date of January 21, ..

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Supervisory Red Flags Under FINRA Rule 2111

Stockbroker Law - Tuesday, March 12, 2013
Supervisory Red Flags Under FINRA Rule 2111

Rule 2111 (http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14960&element_id=9859&highlight=2111#r14960)of the F ..

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Supervisory Red Flags Under Rule 2111

Stockbroker Law - Tuesday, March 12, 2013
Supervisory Red Flags Under Rule 2111

The Notice requires firms to have a supervisory system to focus on the detection, investigation and follow-up of “red flags” indicatin ..

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FINRA Announces Requirement of Heightened Supervision of Complex Products in NASD Notice to Members 12-03

Stockbroker Law - Tuesday, March 05, 2013
FINRA Announces Requirement of Heightened Supervision of Complex Products in NASD Notice to Members 12-03

The Financial Industry Regulatory Authority (FINRA) has recently defined complex products to include many of the investment vehicles whose risks w ..

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FINRA Suitability Rule 2111 Also Applies to Investment Strategy and Non-Security Investments

Stockbroker Law - Friday, March 01, 2013
FINRA Suitability Rule 2111 Also Applies to Investment Strategy and Non-Security Investments

A customer has been determined to include “a person who is not a broker or dealer who opens a brokerage account at a broker dealer or purcha ..

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