FINRA Broker/Check Offers Small Investors an Opportunity to Investigate their Brokers

Stockbroker Law - Friday, October 05, 2012
FINRA Broker/Check Offers Small Investors an Opportunity to Investigate their Brokers

The Financial Industry Regulatory Authority (FINRA), the self-regulatory entity responsible for the administration of examinations for stockbroker ..

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FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts

Stockbroker Law - Friday, August 31, 2012
FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts

In FINRA Regulatory Notice 12-05 (http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p125462.pdf)(Jan. 2012), the Fi ..

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Vermont Investors Entitled to Protections Under the Vermont Consumer Protection Law

Stockbroker Law - Friday, August 31, 2012
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. Th ..

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Small Investors Get Stung by Short Selling

Stockbroker Law - Thursday, July 12, 2012
Small Investors Get Stung by Short Selling

The FINRA Office of Dispute Resolution has reported the filing of a number of claims by investors who have sustained losses as a result of sh ..

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Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA

Stockbroker Law - Tuesday, June 12, 2012
Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA

In Regulatory Notice 12-08 (http://www.finra.org/Industry/Regulation/Notices/2012/P125588), effective January 26, 2012, the Financial Industry Reg ..

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