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08 '17

Arbitrations v. Class Actions

The Consumer Financial Protection Bureau recently finalized a controversial rule that prohibits financial-service companies from including arbitration clauses in their contracts with consumers that block those consumers from joining class...
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%...
02 '17

FINRA’s Annual Regulatory and Examination Priorities Letter Highlights High-Risk Brokers

Every year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to help its members understand where FINRA intends to focus its reviews during the coming year. The letter is...
01 '17

NFL Players Sacked by Investment Fraud

On October 23, 2016, CBS’s 60 Minutes ran an informative piece on investment fraud suffered by current and former NFL players at the hands of a financial advisor. According to...
12 '16

FINRA Proposes New Rules Designed To Protect Elderly Investors

The Financial Industry Regulatory Agency (FINRA) has recently submitted to the U.S. Securities Exchange Commission a rule change proposal designed to provide more protection for elderly investors. As recently reported...