SEC Subpoenas – Tips for Responding

Mark Astarita

How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney. Read More

UBS YES Losses?

Investors who lost money in UBS' Yield Enhancement Strategy (YES) may be able to recover their losses Read More

Recover GPB Capital Losses

After inquiries by the SEC, FINRA and the FBI, GPB Capital has announced significant losses in the value of its investment… Read More

SDNY Defines Customer under FINRA Rule 12200

Judge Laura Taylor Swain of the Southern District of New York has issued a decision defining a customer, for purposes… Read More

GPB Capital Investigations Heat Up

With losses approaching 70% for some investors, sitting on the sidelines, waiting for the funds to turn around is apparently… Read More

UBS Ordered to Pay Broker $1.6 Million

A former star broker for UBS Financial Services Inc. who was repeatedly called a "bitch" by her boss won a $1.6 million… Read More

Can I Take My Client Information When I Leave My Firm?

When changing firms, and moving between two firms that are part of the Broker Recruiting Protocol, can the broker take… Read More

Brokers Say Moving to RIA Was Positive

A new report from TD Ameritrade Institutional, which gathered data from current and former brokerage reps, illustrates a generally positive… Read More

SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses

The SEC has voted to propose rule amendments to improve the information that investors receive regarding the acquisition and disposition… Read More

SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud

The SEC has charged a New Hampshire-based company and its former CEO with misleading investors about the company’s ability to… Read More