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From our old Discussion Forums. Please forgive the formatting, but we needed to repost this discussion because it is popular.…

Whistleblowers Need Lawyers

There have been many developments in securities whistleblower rulings over the years, but none as compelling as Justice Ginsburg's opinion…

UBS Pulls a Fast One on its Own Employees

Only a few months after withdrawing from the Protocol, UBS Financial Services is requiring brokers waiting for their 2017 bonuses to…

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…