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FINRA’s Amended Complaint Against Non-Traded REIT Promoter Underscores Risky Nature of Investment
Posted on Thursday, February 16, 2012 at 12:15 PM

Recently, the Financial Industry Regulatory Authority (FINRA) filed an amended disciplinary complaint against David Lerner Associates, Inc. (“DLA”) in connection with its recommendations and sales of Apple REIT Ten.

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Securities Regulators Focus On Complex Products To Better Protect Investors
Posted on Tuesday, January 31, 2012 at 12:14 PM

FINRA (the Financial Industry Regulatory Authority) has issued a warning to financial services firms that they need to heighten their supervision of and compliance procedures associated with complex products. 

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SEC’s Complaint Against Life Partners Underscores Senior Protection Issues With Life Settlements
Posted on Friday, January 6, 2012 at 12:12 PM

The Securities Exchange Commission (SEC) began 2012 by charging Life Partners Holdings Inc. and three of its senior executives for their “involvement in a fraudulent disclosure and accounting scheme.” 

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Securities Regulators Issue Risk Alert for Brokerage Firms to Conduct Effective Branch Office Supervisions
Posted on Tuesday, December 27, 2011 at 12:11 PM

FINRA (the Financial Industry Regulatory Authority) and the SEC (the Securities and Exchange Commission) recently joined together to issue a National Exam Risk Alert (the “Alert”).  Republished by FINRA as Regulatory Notice 11-54, the Alert provides an excellent overview of the requirements for a brokerage firm’s supervision program, including information on developing effective policies and procedures for branch office inspections.

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Navigating the Uncertain Waters of Securities Arbitration In Order to Effectively Represent Your Client
Posted on Friday, October 14, 2011 at 12:10 PM

Lawyers confronted with the task of representing an investor or a financial adviser in securities arbitration quickly will realize that arbitration neither is like litigation nor an administrative hearing.  In the most basic sense, securities arbitration is a hybrid of the two. 

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New Publication Defines the “Fiduciary Ethos” For Financial Advisors Acting as Fiduciaries
Posted on Wednesday, October 5, 2011 at 12:09 PM

“Fiduciary Ethos; Living in a Fiduciary World” is superb guidance for any financial advisor serving as or planning to serve as a fiduciary to clients. 

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Recent FINRA Disciplinary Findings Against UBS Financial Services Demonstrate How Investors Were Misled In Purchasing Lehman-Issued 100% Principal-Protection Notes
Posted on Monday, September 19, 2011 at 12:08 PM

The Financial Industry Regulatory Authority (FINRA) recently fined UBS Financial Services, Inc. $2.5 million, and required the firm to pay $8.25 million in restitution to customers. 

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New Publication Defines the “Fiduciary Ethos” For Financial Advisors Acting as Fiduciaries
Posted on Monday, September 19, 2011 at 12:07 PM

“Fiduciary Ethos; Living in a Fiduciary World” is superb guidance for any financial advisor serving as or planning to serve as a fiduciary to clients.  Whether the advisor is a financial planner, wealth manager or retirement advisor, or whether the clients are retail, institutional, individuals, private trusts, foundations, endowments, or retirement plans, the publication written by Donald P. Trone is a must-read. 

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Securities Regulator Warns Against Chasing Higher Yield Through Risky Investments
Posted on Friday, September 9, 2011 at 12:06 PM

FINRA (the Financial Industry Regulatory Authority) is concerned that the current low yield on traditional safe investments is causing investors to reach for higher yield, unfortunately through riskier investments.  As a result, FINRA has issued an alert entitled, “The Grass Isn’t Always Greener – Chasing Return in a Challenging Investment Environment.”

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SEC and FINRA Alert Investors to Risks and Unsuitability of Structured Securities Products
Posted on Wednesday, August 17, 2011 at 12:05 PM

Securities regulators SEC (the Securities and Exchange Commission) and FINRA (the Financial Industry Regulatory Authority) have issued warnings to investors and to financial services firms that sales of structured securities products have hurt investors. 

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