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December 4, 2014
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Blog, Securities Fraud
According to a recent FINRA Disciplinary Action, Derek Neal York (CRD #5798549, Pelham, Alabama) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, York consented to the sanction and to the entry of findings that he participated in
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April 14, 2014
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Blog, Securities Fraud
According to the Associated Press, on Tuesday April 8, 2014, Governor Robert Bentley signed legislation that extends the statute of limitations in Alabama for securities fraud and theft by deception. The new law extends the statute of limitations to five years from when the fraud is discovered. Previously
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