FINRA Investigations Under Rule 8210
It is every registered person’s nightmare. You receive a letter from a FINRA office notifying you that you are the…
Read MoreRegulatory Enforcement & Investigations
Regulators Pursue Enforcement Actions Against Woodbridge Sales Representatives
Last December, the Securities and Exchange Commission accused the Woodbridge Group of Companies and its founder, Robert Shapiro, of running…
Read MoreOGC and Enforcement at SEC Speaks 2018 – Words Matter, Process Matters, Homework Matters
Dennis Stubblefield, a Partner at the firm, recently attended SEC Speaks, the Commission’s annual conference in which senior staff from…
Read MoreWells Fargo Wealth Management Division Faces SEC Investigation on Sales Practices
Wells Fargo & Co. disclosed in a recent regulatory filing that its Wealth Management division, which includes FINRA member firm…
Read MoreFederal Court Denies Broker-Dealer’s Request for Internal FINRA Documents in SEC Enforcement Action
On February 13, 2018, a federal district court judge denied a U.S. broker-dealer’s request for leave to compel internal regulatory…
Read MoreSEC Unmasked: How Safe are Its Investigative Files?
We just posted our overview of the SEC Hack. The agency has thus far specified just EDGAR as being compromised…
Read MoreCalifornia Securities Lawyer Update: Morgan Stanley Broker Suspended for Altering Client Information
The Financial Industry Regulatory Authority (FINRA) recently suspended [...]
Read MoreSan Diego Securities and Financial Attorneys: Former LPL Financial Brokers Charged By SEC With Annuity Sales Abuses To Federal Employees
This past Monday, the Securities and Exchange Commission charged four former Atlanta-based LPL brokers with selling 200 privately-issued annuities [...]
Read MoreSan Diego Securities Lawyer Update: FINRA Regulatory Fines On The Rise
The Financial Industry Regulatory Industry (FINRA) is a non-profit, non-governmental organization authorized by Congress [...]
Read MoreSan Diego Securities Lawyers: SEC Enforcement Action Up 20%
In the past six months, SEC enforcement actions against broker-dealers were up 20% [...]
Read More