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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Ponzi Schemes, Private Placements and Pickpockets

Stockbroker Law - Tuesday, March 13, 2012
Ponzi Schemes, Private Placements and Pickpockets

Hundreds of millions of dollars have flowed out of Capital Region households in the past decade for investment into private placement investm ..

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