Brad Bennett, FINRA’s Executive Vice President and Chief of Enforcement, said, “A key element of retail investor protection is the aggressive pursuit of brokers who churn and excessively trade customer accounts. FINRA has no tolerance for brokers who place…
Earlier this week, the SEC won a court-ordered asset freeze of two former brokers, James Brennan III and Douglas Dyer, and their company Broad Street Ventures. The former brokers, both of whom have disciplinary histories with FINRA and state…
Occasionally, in the event a case requires litigation, legal counsel may request the assistance of one or more expert witnesses. As specialists in their field, these experts can provide advanced knowledge, skill, experience, training and/or education that can assist…
Jacko Law Group, P.C. (“JLG”) wrote the article titled Cover Your Legal Bases When Breaking Away which was published in the Financial Advisor IQ on June 2, 2016.… Read More
Last week the SEC announced insider trading charges including pro-golfer Phil Mickelson. Mickelson agreed to pay back more than $1 million he earned from an insider stock tip from William “Billy” Walters, a famous sports gambler. As a result…
On May 6th, SEC Commissioner Kara M. Stein gave a speech in Denver, Colorado entitled Disclosure in the Digital Age: Time for a New Revolution at the 48th Annual Rocky Mountain Securities Conference. The speech discussed the importance of…
In the season finale the Chuck Rhoades, Wendy Rhoades, and Bobby Axelrod triangle fallout continues and leads to some major confrontations which could have been avoided had the rules been complied with. Spoilers Ahead…
This week’s episode focused a lot on personal lives and how they can impact professional lives. In one particular scenario, the ethical considerations of confidential information that can result from it are explored. Spoilers Ahead…
In this episode, the ethical aspects of Axe’s capital raising tactics and trading antics really come into focus. Spoilers Ahead…
Episode 10 leads up to a tough scenario for Axe as Principal of Axe Capital in the wake of his current personal and professional dramas. Spoilers Ahead…