FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts

Stockbroker Law - Friday, August 31, 2012
FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts

In FINRA Regulatory Notice 12-05 (http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p125462.pdf)(Jan. 2012), the Fi ..

Read More

Vermont Investors Entitled to Protections Under the Vermont Consumer Protection Law

Stockbroker Law - Friday, August 31, 2012
Vermont Investors Entitled to Protections Under the Vermont Consumer Protection Law

The State of Vermont Legislature has passed consumer fraud laws to protect Vermont citizens from unfair and deceptive business practices. Th ..

Read More

Small Investors Get Stung by Short Selling

Stockbroker Law - Thursday, July 12, 2012
Small Investors Get Stung by Short Selling

The FINRA Office of Dispute Resolution has reported the filing of a number of claims by investors who have sustained losses as a result of sh ..

Read More

Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA

Stockbroker Law - Tuesday, June 12, 2012
Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA

In Regulatory Notice 12-08 (http://www.finra.org/Industry/Regulation/Notices/2012/P125588), effective January 26, 2012, the Financial Industry Reg ..

Read More

FINRA Issues Customer Account Protection Regulatory Notice to Protect Customer Monies from E-Mail Instruction-Related Theft

Stockbroker Law - Tuesday, June 12, 2012
FINRA Issues Customer Account Protection Regulatory Notice to Protect Customer Monies from E-Mail Instruction-Related Theft

In Regulatory Notice 12-05 (http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p125462.pdf), the Financial Industry Regul ..

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