Articles Posted in Broker/Dealer

Hollywood, Dania, Fort Lauderdale, Pompano Beach and Deerfield Beach, Florida Improper Markup Corporate Bond FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event…

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action…

Registration of Dealers, Associated Persons, and Investment Advisers in the State of Florida – South Florida Securities Attorney: Chaper 517.12 Fla.Stat. labeled Registration of dealers, associated persons, and investment advisers provides in relevant part that: (1) No dealer, associated person, or issuer of securities shall sell or offer for sale any securities in or from offices…

Do CFPs have to register as an Investment Adviser in Florida – Delray, Boynton Beach, Lantana, Boca Raton and West Palm Beach FINRA Arbitration, Litigation and Elder Abuse Attorney: Any person who for compensation refers, solicits, offers, or negotiates for the purchase or sale of investment advisory services is required to be registered in Florida,…

Florida’s Regulation D and Rule 506 Offering Requirements – Boca Raton, Fort Lauderdale and West Palm Beach, Florida Securities Fraud and Misrepresentation FINRA Arbitration, Litigation and Elder Abuse Attorney: What are Florida’s Regulation D and Rule 506 Offering requirements? Regulation D and Rule 504 Public Offerings: Sales must be made pursuant to the registration by…

Boca Raton, Fort Lauderdale and West Palm Beach, Florida Elder and Retirement Financial Abuse FINRA Arbitration and Litigation Attorney: Elder and retirees should think twice about investing if you spot any of these red flags of investment fraud: Limited history of posts. Fraudsters can set up new accounts specifically designed to carry out their scam…

South Palm Beach County, Florida Securities and Transfer Agent Fraud and Misrepresentation Litigation and Arbitration Attorney: Securities and Exchange Commission v. International Stock Transfer Inc and Cecil Frederick Speight, Civil Action No. 14-cv-4435 (ADS) (E.D.N.Y.) SEC Charges Florida-Based Transfer Agent and Owner with Scheming Investors The Securities and Exchange Commission recently charged a Florida-based transfer…

Fort Lauderdale, Boca Raton and West Palm Beach, Florida Broker/Dealer FINRA Arbitration and Litigation Attorney: FAQ’s You Should Consider Asking Before You Initiate Your Account Transfer: Discussing the transfer process with your new firm is the best way to become familiar with the account transfer process. If the answers to your questions are not clear,…

Miami, Hollywood, Fort Lauderdale and Boca Raton, Florida False and Misleading Research Report FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that…

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action…