Call Now for a Free Consultation
(888) 637-5510

Tag: securities attorneys

Blog, Current Investigations

FINRA Fines UBS Securities $2.5 Million for Reg SHO Violations 

UBS Sanctioned for Reg SHO Violations and Supervisory Failures  According to a press announcement this week, the Financial Industry...

Read More

Blog, Securities Fraud

Securities Regulators Warn Firms about Supervisory Issues

Broker Dealers should be on the lookout for Inappropriate Communications, Complex Products Sales, and Brokers in need of Heightened...

Read More

Blog, Securities Fraud

Protecting Investors from Misconduct, FINRA releases FAQ on Rule 4111

FINRA releases FAQ on Rule 4111, Restricted Firm Rule  The Financial Industry Regulatory Authority has released frequently asked questions...

Read More

Blog, Current Investigations, Securities Fraud

FINRA Claim: Morgan Stanley & Broker Jacob Shapira

Morgan Stanley Broker Jacob “Cobby” Shapira allegedly Shorted Amazon Stock According to Financial Advisor IQ this week, a...

Read More

Blog, Current Investigations

FINRA Claim: $23 Million over Tesla Trades

UBS Broker Allegedly Promoted Short Selling Tesla Stock According to an article in AdvisorHub today, a group of investors have reportedly...

Read More

Blog, Securities Fraud

10 Worst Financial Advisors in America according to Think Advisor

Think Advisor: 10 Worst Financial Advisors in America 2020 Think Advisor, an on-line investment news magazine,  posted an article this...

Read More