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4 May 2018, 11:17 am
On May 3, 2010, the FINRA Department of Member Regulation (the "Department") notified Sharemaster that its membership would be suspended because the firm had submitted its 2009 audit without the PCAOB attestation allegedly required pursuant to '34 Act Rule 17a-5. [read post]
27 Feb 2013, 11:00 am
If not, FINRA may turn its wrath on them thinking the registered representatives were actually working for the broker-dealers and not freelancing. [read post]
24 Jan 2022, 3:18 pm
Judge Willing To FAFO: Because there may not be any real consequences for his questionable COVID behavior. [read post]
13 Jun 2018, 7:54 am
Good folks shouldn't work at bad firms. [read post]
28 Dec 2023, 9:08 am
CQS firms are now obliged to make all necessary changes to their policies, controls and procedures (PCPs) and ensure additional training is provided to staff on the changes.The changes to the CQS Core Practice Management Standard (CPMS) were published in February 2022 and took effect from 1 May 2022. [read post]
4 Oct 2019, 5:10 am
[Daily Beast] * Antonio Brown may not be an ideal litigant. [read post]
11 Apr 2024, 12:00 am
Marriage is a union of love and partnership, but it can also come with serious financial responsibilities that may raise questions in the event of a divorce. [read post]
21 Feb 2013, 10:11 am
After Respondent Schwab amended its Customer Account Agreement to include provisions requiring customers:to waive their rights to bring or participate in class actions against the firm,andto agree that arbitrators in arbitration proceedings would not have the authority to consolidate more than one party's claims,FINRA's Enforcement Departmet filed a Complaint charging the firm with violating FINRA rules concerning language or conditions that firms may place in… [read post]
11 Aug 2014, 6:46 am
As famed securities regulator Carly Simon admonished: We can never know about the days to comeBut we think about them anywayWise, wise words of advice for all stockbrokers, who should carefully think about what may happen to you after you've left your firm ... [read post]
9 Mar 2018, 6:01 am
During two days in May 2009 and 13 days during a three-week stretch in January and February 2010, FINRA alleged that Geary Securities operated pursuant to subparagraph (a)(2)(i) of '34 Act Rule 15c3-1, which imposes a $250,000 minimum net capital requirement based upon the firm's regular receipt of customer checks payable to the broker-dealer. [read post]
28 Jun 2018, 5:19 am
Those prices may not have been accurate. [read post]
28 Aug 2023, 4:13 am
In May 2023, I called for a boycott of all 2023 FINRA elections. [read post]
26 Dec 2023, 11:30 pm
Ipswich Building Society are to launch Secure Link FAQs and Redemption Statements.Secure Link is an LMS product that allows for a more streamlined conveyancing process whilst improving case query turnaround times, allowing FAQs to be answered almost immediately.Not only does this prevent hold ups in the process as the conveyancing panel law firm awaits an answer, but it frees up more time for all stakeholders to focus on more complex cases or questions that need a bespoke, tailored… [read post]
17 Mar 2014, 4:00 am
Client Development Webcasts If you are a lawyer in a small or mid-midsized firm and your firm does not have a client development training program, I may be able to help you. [read post]
30 Jan 2012, 7:11 am
Then again, some of the stuff you see floating around Facebook may have already proven that theory false. [read post]
15 Jun 2018, 10:51 am
“At some point, a license to sell securities can become a license to steal when there is inadequate supervision of these remote brokerage firm offices,” offered well-known securities attorney Jenice Malecki. [read post]
2 Feb 2024, 4:00 am
We often look at feedback solely from a client perspective and how we can improve that client’s experience; we may be missing out on trends that our clients share. [read post]
31 May 2022, 7:33 am
These cases may include lawsuits for car accidents, medical malpractice, or workplace injuries. [read post]
19 Jan 2012, 4:30 am
You may be wondering where my law practice comes in. [read post]
25 Jun 2018, 7:34 pm
Available at SSRN: https://ssrn.com/abstract=3186347 “Any firm today may, at little or no cost, build its own infrastructure to process personal data for commercial, economic, political, technological or any other purposes. [read post]
