July, 2011
Archive

July 22, 2011

http://www.securitieslawyer.com

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Collective Action Claims, Featured by Top Securities Fraud Attorneys, The White Law Group July 22, 2011

Collective Action Claims for Financial Advisors

FINRA Proposes Rule Change for Class Action Employment Claims According to

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July 22, 2011

Reverse Convertible Investigation Involving UBS, Morgan Stanley and Ameriprise

According to the Investment News, Georgia recently requested information from UBS

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July 21, 2011

FINRA suspends former Next Financial broker, William Bailey

The Financial Industry Regulatory Authority (FINRA) recently announced that it has

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July 20, 2011

Massachusetts suing RBC over ETF sales

According to the Investment News, Massachusetts’ top securities regulator is

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July 20, 2011

SEC Enforcement Action Involving Jennifer Kim

On July 12, 2011, the Securities and Exchange Commission issued an Order Instituting

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