Seniors Most Often Defrauded by Family and Friends
For a number of reasons, seniors are some of the most likely victims of financial and securities fraud. First, given…
Read MoreMonth: May 2018
Broker Alert – FINRA to Publicly Report Undisclosed Bankruptcies, Judgments and Liens on New U4’s
Beginning July 9, 2018, FINRA, the Financial Industry Regulatory Authority, will search public records to determine whether registered reps who…
Read MoreCalifornia Supreme Court Brings Substantial Change to Employee/Independent Contractor Classification
On April 30, 2018, the California Supreme Court issued its long-awaited opinion in Dynamex Operations West, Inc. v. Superior Court,…
Read MoreMERRILL BROKER FIRED OVER $524.00 EXPENSE REIMBURSEMENT: THE TREND CONTINUES ON EXPENSE INFRACTIONS
The industry-wide crackdown on expense account improprieties continues. In recent blogs I wrote about the crackdown by FINRA, the Financial…
Read MoreNew SEC Rulemaking Package Seeks to Enhance Retail Investor Protection and Awareness
On April 18, 2018, the SEC voted 4 to 1 to propose the Standards of Conduct for Investment Professionals Rule…
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