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Category: Brokers

Brokers

 Commentary, news and links of interest to financial advisers.

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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…

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…

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…

Responding to an 8210 Request

By Mark J. Astarita, Esq. FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) gives…

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…

Overview of the Securities Arbitration Process

Start to Finish, a complete Walk-through by veteran securities arbitration attorney Mark Astarita. Nationally known securities attorney Mark Astarita has…

SEC Files Fraud Charges Against Brokers Targeting Federal Retirees

Elder fraud is becoming a significant concern of regulators, and firms. As the older population grows, so do the issues…