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Category: Securities litigation

30
11 '17

SEC Enforcement Actions Against Advisers is on the Decline

The Investment News reported this week that the Securities and Exchange Commission (SEC) has relaxed its enforcement of investment advisers under the Trump administration. In 2017 the SEC investigated 82...
18
08 '17

FINRA Increased 2016 Operating Revenue With Record Fines

Investment News reported last week that the Financial Industry Regulatory Authority’s (FINRA) operating revenue decreased while its income from fines nearly doubled in 2016. FINRA made up for a 6%...
25
04 '17

Recent Increases in Margin Debt Foreshadow a Rise in Securities Litigation

The Wall Street Journal recently reported that the use of margin debt has increased substantially with the recent run-up of the equity markets following the Trump presidential election. Traditionally, margin...
21
12 '16

Regulators Crackdown On RIAs Employing Advisors Previously Barred By FINRA

The Financial Industry Regulatory Authority (FINRA) oversees broker-dealers and their licensed registered representatives. FINRA rules surrounding U-4 and U-5 filings require FINRA members to report customer complaints, regulatory investigations and,...
09
08 '16

FINRA Warns Firms Not to Avoid FINRA Dispute Resolution Arbitration

In July 2016, FINRA issued Notice to Members 16-25, warning its members against preventing their customers and employees from attempting to resolve their disputes through FINRA Dispute Resolution arbitration. It...