FINRA Issues Guidance on Best Execution Obligations

Stockbroker Law - Tuesday, February 23, 2016
FINRA Issues Guidance on Best Execution Obligations

In FINRA Regulatory Notice 15-46 (https://www.finra.org/sites/default/files/notice_doc_file_ref/Notice_Regulatory_15-46.pdf) the Financial Industr ..

Read More

FINRA Issues Guidance on Interpretation of FINRA’s Margin Rule

Stockbroker Law - Wednesday, February 17, 2016
FINRA Issues Guidance on Interpretation of FINRA’s Margin Rule

In November of 2015 FINRA Regulation issued further guidance regarding FINRA Rule 4210 (http://finra.complinet.com/en/display/display_main.html?rb ..

Read More

SEC Issues Investor Bulliten on Variable Annuities

Stockbroker Law - Tuesday, February 09, 2016
SEC Issues Investor Bulliten on Variable Annuities

On November 5, 2015 the Securities and Exchange Commission issued an Investor Bulletin (https://www.sec.gov/investor/alerts/ib_var_annuities.pdf)  ..

Read More

Best Execution Failure by Two Brokers Results in SEC Bar

Stockbroker Law - Tuesday, February 02, 2016
Best Execution Failure by Two Brokers Results in SEC Bar

Their press release (http://www.sec.gov/news/pressrelease/2015-248.html) dated October 28, 2015 the SEC disclosed the bar of two brokers involved  ..

Read More

Recent

Blog Posts

Blog Post

Archive

Investment & Broker
Misconduct

Investment Misconduct

Whistleblowers
 

Whistleblowers

Private Company
Disputes

Private Company Disputes

Personal
Injury

Personal Injury