Month: December 2016

SECURITIES AND EXCHANGE COMMISSION REVOKES ASH NARAYAN FROM SECURITIES INDUSTRY

By Erwin J. Shustak — posted in Regulatory Enforcement & Investigations on Thursday, December 29, 2016.

Enforcement Actions SEC

Last week, the Securities and Exchange Commission revoked [...]

FINRA ARBITRATION RULE CHANGE- PANEL SELECTION IN CUSTOMER CASES WITH THREE ARBITRATORS

By Erwin J. Shustak — posted in Securities Arbitration & Litigation, Securities Regulation & Compliance on Thursday, December 22, 2016.

Arbitration FINRA FINRA Arbitration

The Securities and Exchange Commission (SEC) approved amendments to [...]

How Brokers Can Exploit the Broker Protocol to Facilitate Their Breakaway

By Erwin J. Shustak — posted in Financial Advisor & Broker Disputes on Monday, December 19, 2016.

Broker Protocol Broker Transitions Financial Advisors

Recently, a group of 13 brokers left Morgan Stanley with $2.2 billion of client assets [...]

FINRA Looking To Speak With Terminated Wells Fargo Brokers

By George C. Miller — posted in Financial Advisor & Broker Disputes on Thursday, December 15, 2016.

In the wake of Wells Fargo’s fraudulent account scandal [...]

Former Merrill Lynch International Advisors File Class Action

By George C. Miller — posted in Securities Arbitration & Litigation on Tuesday, December 13, 2016.

Class Actions Financial Advisors

A group of former Merrill Lynch international financial advisors have filed [...]

THE U.S. SUPREME COURT CLARIFIES THE DEFINITION OF INSIDER TRADING- A BIG WIN FOR PROSECUTORS

By Erwin J. Shustak — posted in Securities Arbitration & Litigation on Wednesday, December 7, 2016.

Securities Litigation

For the first time since 1983 [...]