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

Mark Astarita

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

SEC Subpoenas – Tips for Responding

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

Keeping Wealth in the Family

To help preserve their legacies, families increasingly turn to family offices tasked with maintaining multigenerational wealth. According to the UBS 2019… Read More

Former Congressman Christopher Collins and Two Others Settle Insider Trading Charges

The SEC announced settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen Zarsky, all of whom… Read More

Nanotech Engineering Asset Freeze By SEC

The SEC announced that it has obtained a temporary restraining order and asset freeze against a Nanotech Engineering, a California… Read More

SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO

The Securities and Exchange Commission today charged a digital-asset entrepreneur and his company with defrauding investors in an initial coin… Read More

What is Securities Arbitration?

Securities arbitration has become the most often used method of resolving disputes in the securities industry. Since the late 1970's, … 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

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