FINRA Hosts Arbitrator Appreciation Event

Stockbroker Law - Tuesday, May 31, 2016
FINRA Hosts Arbitrator Appreciation Event

Are you interested in becoming a FINRA arbitrator? The Financial Industry Regulatory Authority (FINRA) is hosting an Arbitrator Appreciation Event on Wednesday, June 8, 2016 at the Kimmel Center at New York University. If you are interested in attending this event or serving as a FINRA arbitrator or FINRA neutral, contact Chris Avery at the FINRA Office of Dispute Resolution at (213) 613-2673. 


Read More

Think Twice Against Borrowing Against Your Pension

Stockbroker Law - Tuesday, May 24, 2016
Think Twice Against Borrowing Against Your Pension

The New York State Department of Financial Services (DFS) and the Consumer Financial Protection Bureau (CFPB) have initiated action against two companies involved in soliciting pension advance loans from unsuspecting consumers. The suit against Pension Funding, LLC and Pension Income, LLC alleges that the companies deceived individuals into taking loans against their pensions, hiding high interest rate loans and fees coupled with deceptions about other terms of the proposed lending arrangements. 


Read More

School Law

Stockbroker Law - Tuesday, May 17, 2016
School Law

School principals and administrators often take it upon themselves to investigate and prosecute cheating scandals that don’t exist. In this day and age of advanced information technology capabilities both students on the one side, and administrators and prosecutors on the other side, have many options for researching, copying and sharing educational and testing materials in ways that simply weren’t available a generation ago. Oftentimes the clearly innocent and earnest efforts of students are seeking to learn and prepare for testing on route to the college of their choice are faced with the various studying resources freely available on the internet. At the same time, school administrators have failed to keep up with these resources and have failed to provide proper written policies, procedures and guidance to diligent students merely seeking to get ahead. 


Read More

Top Investors Threats Announced By NASAA

Stockbroker Law - Tuesday, May 10, 2016
Top Investors Threats Announced By NASAA

The North American Securities Administrators Association (NASAA) recently announced its annual list of top investor threats after a survey of state securities regulators, identifying the five most problematic investment products, schemes and tricks as follows: 


Read More

The North American Securities Administrators Association (NASAA) Protecting the Investing Public

Stockbroker Law - Tuesday, May 03, 2016
The North American Securities Administrators Association (NASAA) Protecting the Investing Public

The North American Securities Administrators Association (NASAA) maintains an investor education resource on its website designed to protect the investing public from investment schemes and victimization in the financial markets. The frequently posted investor alerts and tips are designed to inform the average investor of storm clouds ahead of the financial markets and traps to avoid financial victimization. 


Read More

Investment & Broker
Misconduct

Investment Misconduct

Whistleblowers
 

Whistleblowers

Private Company
Disputes

Private Company Disputes

Personal
Injury

Personal Injury