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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • Broker Protocol FAQs
    • CFP Board Investigations
    • Employment Counsel
    • Expungement Claims
    • FINRA, SEC and State Regulatory Investigations
    • FINRA Rule 8210 FAQs
    • Firm Transitions
    • Form U5 Claims FAQs
    • Partnership Disputes
    • Promissory and Forgivable Notes
    • Wrongful Discharge
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Breach of Fiduciary and Other Duties
    • Financial Advisor Misconduct
    • Investment Loss FAQs
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
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SEC proposes rule amendments to expand private fund reporting requirements

On Behalf of Lewitas Hyman PC | Jan 31, 2022 | Securities and Compliance

The Securities and Exchange Commission has approved proposing rules amendments that would require certain financial advisers to provide more current reporting when key events occur. In a news release, the SEC said it will propose amendments to its Form PF, which is...

SEC Chair outlines recommendations for financial sector to protect against cyberattacks

On Behalf of Lewitas Hyman PC | Jan 28, 2022 | Securities and Compliance

Securities and Exchange Commission Chair Gary Gensler is emphasizing the need for the financial sector to strengthen its protections against cyberattacks, according to a report by ThinkAdvisor. Gensler’s remarks came in a speech on cybersecurity and securities laws,...

FINRA issues reminder to firms on promptly executing marketable customer orders

On Behalf of Lewitas Hyman PC | Jan 27, 2022 | FINRA Compliance

The Financial Industry Regulatory Authority has issued a reminder to member firms pertaining to the execution of marketable customer orders. In Regulatory Notice 22-04, FINRA reminded the firms of their obligation to execute such orders fully and promptly, as well as...

Legislation to protect seniors from financial fraud introduced in Senate

On Behalf of Lewitas Hyman PC | Jan 26, 2022 | Financial Advisor Misconduct

Efforts to help protect senior citizens from financial fraud and exploitation have taken another step forward in Congress, reports InvestmentNews. Last week a bipartisan group of four senators introduced the Empowering States to Protect Seniors from Bad Actors Act....

CFP Board establishes new commission to adjudicate appeal hearings

On Behalf of Lewitas Hyman PC | Jan 25, 2022 | CFP Board

A new commission to adjudicate appeals by financial planners has been established by the Certified Financial Planner Board of Standards, the board announced last week in a news release. The Appeals Commission will have sole authority to adjudicate appeal hearings...

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  • Virginia financial advisor charged with defrauding investors and clients

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