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

FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?

Stockbroker Law - Tuesday, January 26, 2016
FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?

Recent statistics (http://www.finra.org/newsroom/statistics) of the Financial Industry Regulatory Authority (FINRA) indicates that there are over  ..

Read More

FINRA Issues Investor Alert Warning of Fraudster Phone Scams

Stockbroker Law - Tuesday, January 19, 2016
FINRA Issues Investor Alert Warning of Fraudster Phone Scams

On November 5, 2015 the Financial Industry Regulatory Authority issued an investor alert entitled “Tools of the Fraud Trade: Phones and Emot ..

Read More

Financial Exploitation of Vulnerable Adults and Senior Citizens

Stockbroker Law - Tuesday, January 12, 2016
Financial Exploitation of Vulnerable Adults and Senior Citizens

The Financial Industry Regulatory Authority (FINRA) has proposed the amendment of FINRA Rule 4512 (https://www.finra.org/industry/notices/15-37) ( ..

Read More

Investment Advisor Representatives (IARs)

Stockbroker Law - Tuesday, January 05, 2016
Investment Advisor Representatives (IARs)

The United States Department of Labor’s Bureau of Labor statistics estimates that financial advisors in the workplace will grow by thirty pe ..

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