Month: August 2012
FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts
In FINRA Regulatory Notice 12-05 (Jan. 2012), the Financial Industry Regulatory Authority (FINRA) cited an increase in the number of reported cases of money stolen from customer accounts as a result of bogus e-mail instructions from e-mail accounts of customers, which had been hacked by scam artists. In addition to FINRA’s recent notice, the Federal […]Read Post
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. These laws are also designed to encourage a commercial environment highlighted by integrity and fairness. Relief is available to defrauded consumers under Vermont’s consumer fraud laws (9 V.S.A. §2451, et seq.). This law was enacted […]Read Post
Have a Question?
"*" indicates required fields
- A Successful Will Contest
- SEC Issues Required Investor Disclosures for Variable Annuities and Variable Life Insurance Contracts
- Airbnb Guest Injuries
- Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors
- Will Contests – Have You Been Shorted by Trickery Involving a Loved One’s Estate?