Mid-Year Enforcement Action Cases
David Sobel wrote a Legal Tip for Jacko Law Group titled Mid-Year Enforcement Action Cases in August, 2018.… Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled Mid-Year Enforcement Action Cases in August, 2018.… Read More
If you run afoul of FINRA rules and regulations, FINRA has the authority to fine, suspend or bar brokers and firms from the industry. Depending on the violation, when it was discovered, and by whom, you may be faced with…
FINRA expungement has been, and continues to be, a topic of intense discussion. We’ve discussed expungement in regard to customer complaints, as well as intra-industry issues, in just the past year. This continuation on the theme concerns a FINRA…
David Sobel wrote a Legal Tip for Jacko Law Group titled What To Do If You Receive a FINRA 8210 Letter in October, 2017.… Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled FINRA Expungement Part II in June, 2017… Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled What You Need To Know About Expungement in April, 2017.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled What The New Finra Supervisory Rules Mean For Your Brokerage Practices in September, 2014.… Read More
The Financial Industry Regulatory Authority (“FINRA”) has formed a 13-member Arbitration Task Force in an effort to “improve the transparency, impartiality and efficiency” of the arbitration process. Arbitration is a formal dispute resolution process for disputes and complaints arising out…
The importance of adequate and effective Anti-Money Laundering (“AML”) programs should never be underestimated in the current US regulatory environment, as the Financial Industry Regulatory Agency’s (“FINRA’s”) January 28, 2014 announcement of penalties against the firm Banorte-Ixe clearly illustrates. The…
This month, the Financial Industry Regulatory Authority (“FINRA”) released a regulatory notice reminding member firms of their responsibilities concerning individual retirement account (“IRA”) rollovers and potential conflicts of interest. A conflict exists when brokerage firms have an economic incentive to…