News & Updates

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Advisor Accepts Industry Bar Amid FINRA Probe into Outside Business Acti...

John A. Dougherty, a veteran advisor with 23 years of experience, agreed to an AWC (Acceptance, Waiver, and Consent) after refusing to cooperate...

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Key Considerations for Advisors When Assessing the Financial Soundness o...

While rating agencies like Fitch and S&P Global Ratings generally highlight the strength of annuity issuers, advisors still should scrutiniz...

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SEC Alleges Fraud Against Morgan Stanley and Former Executive in Block T...

As reported by the Wall Street Journal, the Securities and Exchange Commission (SEC) has charged Morgan Stanley & Co. LLC and its f...

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Challenges Persist: Firms Struggle to Comply with Regulation Best Interest

FINRA's annual report for 2024 reveals a concerning trend among broker-dealers, with numerous instances of violations of Regulation Best Interes...

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FINRA Flags Violations in 70% of Broker-Dealers' Crypto Communications

During a two-year-old targeted examination, the Financial Industry Regulatory Authority (FINRA) has identified potential violations in 70 percen...

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Major Investors Opt Out of Class Actions, Pursue Larger Recoveries

Large shareholders increasingly are choosing to opt out of class-action settlements, a trend that has gained momentum since a pivotal US Supreme...

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New Jersey Advisor Faces Charges for Alleged $89 Million Investor Fraud ...

Raymond John Pirrello Jr., a barred New Jersey advisor, has been indicted on three counts, including securities fraud conspiracy and wire fraud ...

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FINRA Adopts New Rules for Remote Inspections and Home Offices

The Financial Industry Regulatory Authority (FINRA) has implemented new rules to enhance its remote inspections pilot program and address home o...

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Robinhood Settles Regulatory Action and Agrees to Overhaul Gamification ...

After a prolonged legal battle with the Massachusetts Securities Division, Robinhood has agreed to pay $7.5 million and revamp its digital engag...

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FINRA Sanctions Former Edward Jones Financial Advisor for Unauthorized T...

A former Edward Jones financial advisor in San Francisco, Jilena Yuen-Han Mok, has been fined and suspended by the Financial Industry Regulatory...

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Latest News & Articles
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Advisor Accepts Industry Bar Amid FINRA Probe into Outside Business Acti...

John A. Dougherty, a veteran advisor with 23 years of experience, agreed to an AWC (Acceptance, Waiver, and Consent) after refusing to cooperate...

Read More

Read More

Key Considerations for Advisors When Assessing the Financial Soundness o...

While rating agencies like Fitch and S&P Global Ratings generally highlight the strength of annuity issuers, advisors still should scrutiniz...

Read More

Read More

SEC Alleges Fraud Against Morgan Stanley and Former Executive in Block T...

As reported by the Wall Street Journal, the Securities and Exchange Commission (SEC) has charged Morgan Stanley & Co. LLC and its f...

Read More

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