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Tag: SEC

Blog, Securities Fraud Articles

Whistleblower Protection Rule 

What is the Whistleblower Protection Act?  The Whistleblower Protection Act in the United States serves as a critical legal safeguard for...

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FINRA SEC Sanctions

Laidlaw & Co Sanctioned for Churning Violations 

Laidlaw Reps and Firm agree to pay $1 Million for Allegedly Churning Client Accounts  According to the SEC on November 20, 2023, the...

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Blog, Securities Fraud Articles

How to File a Complaint against your Broker

If you have a Dispute with your Broker Whether you realized it at the time or not, when you established your brokerage account, you likely...

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Blog, Securities Fraud Articles

Fastest Growing Independent Broker-Dealers

The Ten Fastest Growing Independent Broker-Dealers in 2022 According to  Investment News, the following brokerage firms are the top ten...

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Blog, Securities Fraud Articles

Risks of Investing in Leveraged and Inverse Exchange-traded Funds (ETFs)

Overview of Inverse and Leveraged Exchange-Traded Funds (ETFs)  Did your broker recommend investing in leveraged or inverse ETFs?  The...

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Blog, Securities Fraud Articles

FINRA BrokerCheck to Flag “Restricted Firms”

The SEC Approves new Designation on FINRA’s BrokerCheck of  “Restricted Firm” According to reports this week, the...

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