Broker- Dealer Law Corner

Broker- Dealer Law Corner

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What Else Is New? FINRA Skates Despite “Massive” Failure To Produce Documents

Posted in Discovery, Enforcement, FINRA, Rule 8210, Rule 9251, Uncategorized
Let’s play pretend.  Can you imagine what FINRA would do to a respondent broker-dealer in an Enforcement action that announced on Day Five of the hearing – i.e., during the “final phase” of the hearing – that – whoops! – it had forgotten to produce certain documents that it should have produced eight months before… Continue Reading

FINRA’s New Rules On Seniors: Let’s Protect Them From Their Own Bad Decisions?

Posted in FINRA, Rule 2165, Rule 4512, Senior Investors, Uncategorized
We have written before about senior investors, but I saw a couple of things in the last couple of weeks that suggests this subject needs to be revisited. First, back in February, the SEC got around to passing FINRA’s proposed rules to protect senior investors, including both new Rule 2165 and amendments to existing Rule… Continue Reading

David Slays Goliath: Texas Investment Advisor Beats SEC In Administrative Proceeding

Posted in Disciplinary Process, SEC, Uncategorized
If you have been a regular reader of this Blog, or even if you just browse the Wall Street Journal on occasion, you have undoubtedly noticed the attention being given over the last few weeks to the SEC’s decision increasingly to bring its Enforcement cases before Administrative Law Judges, rather than in federal court. While… Continue Reading
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