Arbitration
What is Securities Arbitration?
December 13, 2019Securities arbitration has become the most often used method of resolving disputes in the securities industry. Since the late [...]
GPB Capital Investigations Heat Up
November 7, 2019With losses approaching 70% for some investors, sitting on the sidelines, waiting for the funds to turn around is apparently not [...]
UBS Ordered to Pay Broker $1.6 Million
November 6, 2019A former star broker for UBS Financial Services Inc. who was repeatedly called a “bitch” by her boss won a [...]
Brokers
Interactive Brokers With Failing to File Suspicious Activity Reports
August 10, 2020Every securities broker is required, by law, to file a report of any suspicious transaction relevant to a possible violation of [...]
SEC Subpoenas – Tips for Responding
July 31, 2020How you respond to an SEC subpoena makes a difference. Tips from an experienced securities [...]
Regulation Best Interest (Regulation BI) Compliance Due June 30, 2020
June 11, 2020Compliance with Regulation Best Interest (Regulation BI) and Form CRS is due on June 30, 2020 for all registered broker-dealers [...]
- Introduction to Regulation Best Interest
- Removing Customer Complaints and Firm Disputes from BrokerCheck
- Lessons in Zoom meeting safety: Useful tips for advisors and clients during the coronavirus pandemic
Compliance
Interactive Brokers With Failing to File Suspicious Activity Reports
August 10, 2020Every securities broker is required, by law, to file a report of any suspicious transaction relevant to a possible violation of [...]SEC Subpoenas – Tips for Responding
July 31, 2020How you respond to an SEC subpoena makes a difference. Tips from an experienced securities [...]Regulation Best Interest (Regulation BI) Compliance Due June 30, 2020
June 11, 2020Compliance with Regulation Best Interest (Regulation BI) and Form CRS is due on June 30, 2020 for all registered broker-dealers [...]
- How Long Does an SEC Investigation Take?
- The Wells Notice SEC/FINRA Investigations
- Whistleblowers Need Lawyers
Corp Finance
Digital Asset Scam Alert
March 24, 2020The Securities and Exchange Commission today announced that it has obtained an asset freeze and other emergency relief to halt an [...]UBS YES Losses?
July 8, 2019Investors who lost money in UBS' Yield Enhancement Strategy (YES) may be able to recover their [...]Accredited Investor Definition
July 4, 2019Under the federal securities laws, while a company may not offer or sell securities without registration with the SEC, there are [...]
- SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses
- Bitcoin Fraud On the Rise
- Congress Still Trading On Non-Public Information?
