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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FINRA Releases Regulatory Notice Warning Member Firms of Volatility-Linked Exchange-Traded Products

Stockbroker Law - Friday, December 01, 2017
FINRA Releases Regulatory Notice Warning Member Firms of Volatility-Linked Exchange-Traded Products

In Regulatory Notice 17-32 (http://www.finra.org/sites/default/files/notice_doc_file_ref/Regulatory-Notice-17-32.pdf), FINRA recently articulated the ..

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Wells Fargo Fined by FINRA for VIX Linked Exchange Traded Products

Stockbroker Law - Thursday, November 30, 2017
Wells Fargo Fined by FINRA for VIX Linked Exchange Traded Products

The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC $3.4  ..

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SEC Issues Microcap Fraud Alert for Low-Priced Stocks

Stockbroker Law - Friday, November 17, 2017
SEC Issues Microcap Fraud Alert for Low-Priced Stocks

In a recent Release, the SEC warned investors about fraudulent schemes involving Over-The-Counter (OTC) stocks (https://www.sec.gov/spotlight/microcap ..

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