Month: May 2016
Are you interested in becoming a FINRA arbitrator? The Financial Industry Regulatory Authority (FINRA) is hosting an Arbitrator Appreciation Event on Wednesday, June 8, 2016 at the Kimmel Center at New York University. If you are interested in attending this event or serving as a FINRA arbitrator or FINRA neutral, contact Chris Avery at the […]Read Post
The New York State Department of Financial Services (DFS) and the Consumer Financial Protection Bureau (CFPB) have initiated action against two companies involved in soliciting pension advance loans from unsuspecting consumers. The suit against Pension Funding, LLC and Pension Income, LLC alleges that the companies deceived individuals into taking loans against their pensions, hiding high […]Read Post
School principals and administrators often take it upon themselves to investigate and prosecute cheating scandals that don’t exist. In this day and age of advanced information technology capabilities both students on the one side, and administrators and prosecutors on the other side, have many options for researching, copying and sharing educational and testing materials in […]Read Post
Top Investors Threats by NASAA The North American Securities Administrators Association (NASAA) recently announced its annual list of top investor threats after a survey of state securities regulators, identifying the five most problematic investment products, schemes and tricks as follows: Unregistered Products/Unlicensed Salesmen – unregistered salesman without any training or licensure has flooded the internet, airwaves […]Read Post
The North American Securities Administrators Association (NASAA) maintains an investor education resource on its website designed to protect the investing public from investment schemes and victimization in the financial markets. The frequently posted investor alerts and tips are designed to inform the average investor of storm clouds ahead of the financial markets and traps to […]Read Post
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- Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors
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- Class Action Lead Plaintiff is Successful in Thwarting Effort of Massachusetts Mutual Seeking to Dismiss Claims