Insights
April 15, 2014
Last month, the IRS declared that it would consider bitcoins as property and not currency for tax reasons. This came to the pleasant surprise of many Bitcoin proponents who have longed for more federa...
April 14, 2014
The SEC has announced that over half of the private-equity firms it has investigated have charged unjustified expenses and fees to investors without their knowledge. The 2010 Dodd-Frank Act gave the S...
April 10, 2014
On Tuesday, the Governor of Alabama, Robert Bentley, signed legislation extending the statute of limitations for securities fraud and theft by deception to five years from the date the fraud was disco...
April 9, 2014
FINRA issued two new Regulatory Notices recently in order to review rules on an ongoing basis. Regultatory Notice 14-14 requests comments on FINRA’s communications with the public rules, and Reg...
April 2, 2014
Samuel Wyly, a Texas investor, and the estate of his late brother, Charles, will go to trial this week against the SEC after years of accusations that they engaged in a $550 million fraud. Many believ...
March 26, 2014
James H. Frank of Santa Barbara, California may have jeopardized the outcomes of almost forty securities arbitrations, some of which date back to more than fifteen years. According to a FINRA spokeswo...
March 26, 2014
In order to begin the arbitration process, a party should file a Statement of Claim with FINRA. This party is called the “claimant.” The party against whom the Statement is filed is called...
March 17, 2014
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory organization, a non-governmental organization that performs financial regulation of member brokerage firms and exchange m...
March 14, 2014
The Securities and Exchange Commission has charged global investment bank and brokerage firm Jefferies LLC with failing to supervise its employees who sold mortgage-backed securities desk and were in ...
March 13, 2014
US banking giant JPMorgan Chase has agreed to pay USD 400 million in a settlement for litigation filed by Syncora Guarantee Inc. over mortgage-backed securities . Syncora said it would drop the rest o...
March 12, 2014
On Feb. 19, RBS officials announced that the company had reached a $275 million settlement with the U.S. government to resolve allegations of misleading investors in mortgage-backed securities. The se...
March 7, 2014
A group of securities and investment attorneys has asked Congress to provide more information to consumers about the brokers that handle their money. FINRA does not go as far as some U.S. state securi...
Page 45 of 49
Free · Confidential · No Obligation
500+
Cases Handled
25+
Years Experience
AV
Preeminent Rated
$0
Fees Until We Win