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
- SDNY Defines Customer under FINRA Rule 12200
- Typical Customer Arbitration Claims
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 [...]
UBS Pulls a Fast One on its Own Employees
February 24, 2018Only a few months after withdrawing from the Protocol, UBS Financial Services is requiring brokers waiting for their 2017 [...]
- How Long Does an SEC Investigation Take?
- Responding to an 8210 Request
- Why advisors will feel freer to make career moves in 2018
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? 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
September 23, 2017By Mark J. Astarita, Esq. FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) is the [...]
- FINRA Hearing Panel Dismisses Charges against Registered Rep.
- Overseas Stock Manipulator Settles SEC Charges
- Wells Fargo Huge Data Breach – Lessons for Firms and Their Lawyers
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