Corporate Finance: Why is Reg-D so hard?? We want to do a Reg-D 504, followed by a 506. The Brokers we've contacted have all told us we need an Investment bank, Underwriters, or 5-years audited financials before they would deign to work with us. The SEC says none of this is true. Can anyone .... Click Here for more...

Arbitration: The End of Mandatory Arbitration? Congress is once again seeking to end mandatory arbitration in all contexts - unless of course you are a broker or a brokerage firm. This will set up the situation where customers are able to decide whether to arbitrate a dispute, and brokers and fir .... Click Here for more...

Arbitration: FINRA Ban On Motions To Dismiss FINRA is proposing to ban virtually all motions to dismiss in arbitration proceedings. The net effect will be a huge benefit to claimaints and their attorneys, as every brokerage firm, and every broker, who is sued in arbitration will be forced to sp .... Click Here for more...

Brokers and Brokerage Firms: sec takedown hi there, i'm a trader, have been for over 10 years. earlier this month the llc firm i trade with (tuco trading) was shutdown by court order due to allegations by the sec that our class A firm members were defrauding us. they weren't. it was a poole .... Click Here for more...