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 ..

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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 ..

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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 ..

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FINRA’s New Suitability Rule

Stockbroker Law - Tuesday, May 29, 2012
FINRA’s New Suitability Rule

The Securities and Exchange Commission approved FINRA’s new Suitability Rule (FINRA Rule 2111) in November of 2010. Since then, FINRA issue ..

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FINRA Upgrades its BrokerCheck Stockbroker Online Search Website

Stockbroker Law - Friday, May 25, 2012
FINRA Upgrades its BrokerCheck Stockbroker Online Search Website

Investors seeking information about their brokers will now enjoy upgraded features on the FINRA BrokerCheck website, including the following: ..

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