Arbitration
FINRA Discovery Guide
September 16, 2017Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might [...]
Churned or Traded?
September 16, 2017The common perception among the general public is that a customer who trades his or her account on a regular basis is a [...]
Overview of the Securities Arbitration Process
August 8, 2017Start to Finish, a complete Walk-through by veteran securities arbitration attorney Mark Astarita. Nationally known securities [...]
- Insight into the FINRA Arbitrator Selection Process
- Typical Customer Arbitration Claims
- Avoiding Customer Disputes
Brokers
U.S. Opens Criminal Probe Into Trading in Fannie, Freddie Bonds
June 2, 2018The U.S. has opened a criminal investigation into whether traders manipulated prices in the $550 billion market for unsecured [...]Series 7 and Drug Testing”
April 6, 2018From our old Discussion Forums. Please forgive the formatting, but we needed to repost this discussion because it is popular. The [...]
How Long Does an SEC Investigation Take?
October 22, 2017One of the first questions my clients ask when faced with a subpoena from the SEC is how long is this going to take? While I hate [...]
- Responding to an 8210 Request
- Why advisors will feel freer to make career moves in 2018
- FINRA Hearing Panel Dismisses Charges against Registered Rep.
Compliance
How Long Does an SEC Investigation Take?
October 22, 2017One of the first questions my clients ask when faced with a subpoena from the SEC is how long is this going to take? Read the [...]How Long Does an SEC Investigation Take?
October 22, 2017One of the first questions my clients ask when faced with a subpoena from the SEC is how long is this going to take? While I hate [...]
Recent FINRA Rule Filings
October 19, 2017When FINRA decides to change or modify any of its rules, or to add a new rule, it is required to provide notice to its members [...]
- Responding to an 8210 Request
- FINRA Hearing Panel Dismisses Charges against Registered Rep.
- Overseas Stock Manipulator Settles SEC Charges
Corp Finance
Accredited Investor Definition
July 4, 2017Under the federal securities laws, while a company may not offer or sell securities without registration with the SEC, there are [...]
Congress Still Trading On Non-Public Information?
May 21, 2017Even a looming scandal wouldn’t deter some of Congress’ most eager stock traders.” This article from Politico details [...]
SEC’s Fast Answers – Rule 504
August 12, 2016Rule 504 of Regulation D provides an exemption from the registration requirements of the federal securities laws for some [...]
- SEC Fast Answers – Rule 506
- Corporate Law and Finance Center
- Anti-Touting Violations by Internet Promoter