Did you know that FINRA conducts between 1,500 and 2,000 audits a year? The Financial Industry Regulatory Authority (“FINRA”) delivers audits and regulation services to the financial industry. As a Self-Regulatory Organization (“SRO”), FINRA works closely with the...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: August 2017
Why and When Registered Representatives Should Consider Seeking Expungement
Expungement is the removal of certain disclosure events on a registered representative’s record – primarily customer complaints and arbitrations, and in some instances employment termination explanations. Once a disclosure event is expunged, it is no longer accessible...
Ponzi Schemes: 7 Warning Signs from the SEC
Do you know how to spot Ponzi Schemes? Are you aware of the warning signs? A Long Island firm lied to investors about having connections to Jay Z’s entertainment company, Roc Nation, and allegedly defrauded investors out of $70 million. More details can be found here....
Advisors: Things to Consider when Transitioning Firms
Did You Know That Advisor Recruitment is at a Four-Year High? According to data compiled by On Wall Street, despite the recent decision by certain wirehouses to significantly reduce recruiting, recruitment is at a four-year high and remains strong. Recruiters say that...
