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Tag: FINRA regulatory attorney

Blog, Securities Fraud

FINRA Rule 8210: Responding to Information Request

Responding to FINRA Rule 8210 Information Request If you are a financial advisor and have received an official-looking letter from FINRA...

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Blog

Wells Notice Process Overview

What is a Wells Notice? A Wells Notice is a letter from the Securities and Exchange Commission (SEC) that informs an individual or entity...

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Blog, Securities Fraud

FINRA Fines Credit Suisse Securities for SHO Violations

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Credit Suisse Securities (USA) LLC $1.75 million...

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