Governor Cuomo Announces Best Interest Standard Proposal for Life Insurance Sales

Stockbroker Law - Wednesday, March 28, 2018
Governor Cuomo Announces Best Interest Standard Proposal for Life Insurance Sales

In a Press Release dated December 27, 2017, New York State Governor Andrew Cuomo announced proposed Department of Financial Services regulations which ..

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VIX ETF’s Wreak Havoc on Small Investors

Stockbroker Law - Friday, February 16, 2018
VIX ETF’s Wreak Havoc on Small Investors

The market volatility of the first half of February of this year has seen small investors lose hundreds of millions of dollars in VIX ETF’s they ..

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Insurance Department Regulation No. 60 Violations Harm New York State Investors

Stockbroker Law - Thursday, February 08, 2018
Insurance Department Regulation No. 60 Violations Harm New York State Investors

New York State Investors who have purchased insurance contracts have been subject to unnecessary requirements imposed by replaced insurers on replacin ..

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SEC Suggests Adult Protective Services (APS) Workers to Protect Seniors From Investment Fraud and Victimization

Stockbroker Law - Friday, January 26, 2018
SEC Suggests Adult Protective Services (APS) Workers to Protect Seniors From Investment Fraud and Victimization

In an investment alert dated May 9, 2017, the SEC Office of Investor Education and Advocacy (https://www.sec.gov/oiea/investor-alerts-and-bulletins/i ..

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Brokerage Firms Abandon Small IRA Account Customers With the Emergence of the Fiduciary Rule – An Accident Waiting To Happen?

Stockbroker Law - Wednesday, January 17, 2018
Brokerage Firms Abandon Small IRA Account Customers With the Emergence of the Fiduciary Rule – An Accident Waiting To Happen?

The recently enacted Fiduciary Rule requires that brokerage firms managing the accounts of IRA customers are required to adhere to a prudent man/prude ..

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