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Rule 8210 – How You Respond Makes a Difference

For FINRA member firms, and employees of FINRA firms (even those who are not registered) FINRA Rule 8210 (Provision of…

Bitcoin Fraud On the Rise

Proponents of the varied cryptocurrencies believe that buying these "coins" will make them millionaires. For some, it is hard to…

How Long Does an SEC Investigation Take?

One of the first questions my clients ask when faced with a subpoena from the SEC is how long is…

State-level fines and penalties hit 5-year high

The SEC has begun to work with the Department of Labor on a fiduciary rule proposal to harmonize the standards…

Advisors Paying More for Compliance

RIAs and broker/dealers say they are spending 9 percent more money -- and a lot more time -- on compliance…

Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme

The SEC alleges that, starting in approximately 2010, Michael Scronic began to raise money from at least 42 friends and…

The Securities Law Blog: FINRA Claims against Sandlapper Securities

Attorneys representing investors are investigating claims against a small broker dealer in South Carolina  after FINRA filed disciplinary proceedings alleging…

Tips for Responding to an SEC Subpoena

Being forced to participate in an SEC investigation, even as a witness, can be a harrowing experience, and this is…

Why advisors will feel freer to make career moves in 2018

Many financial advisers are shaking off the uncertainties of 2017 and getting ready to consider making the moves that they…

FINRA Hearing Panel Dismisses Charges against Registered Rep.

In a rare decision, a FINRA hearing panel dismissed all charges against a registered representative who was accused of falsifying…