ATTORNEY NEWSLETTER The Financial Industry Regulatory Authority and the Securities and Exchange Commission recently published a report regarding senior investors. The report sets forth new recommendations for firms that...
Category: Investment Fraud
California Securities Fraud Lawyers Share New Financial Industry Regulatory Authority Guidelines
May 27, 2015
ATTORNEY NEWSLETTER The Financial Industry Regulatory Authority (FINRA) has announced tougher sanctions for those who commit fraud or make unsuitable recommendations to clients, as well as increased suspensions under the...
ATTORNEY NEWSLETTER California elder abuse attorneys warn that senior citizens are often the target of scammers, and urge senior citizens to be cautious. Senior citizens are often targets, as they are viewed as trusting and...
ATTORNEY NEWSLETTER The SEC Award program was created by the Dodd-Frank Act. This provides an incentive for people to give any information which would let the SEC take sanctions in an amount over $1 million. A whistleblower...
ATTORNEY NEWSLETTER Arbitration is the most widely used form of conflict resolution in the securities industry, and the Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the...