Securities Lawyer
Tag Archive

October 21, 2009

Bear Stearns & Co., Inc. (n/k/a J.P. Morgan Securities, Inc.)...

FINRA recently announced that Bear Stearns & Co., Inc. (n/k/a J.P. Morgan

Read article

October 20, 2009

Securities Fraud Risks of Reverse Mortgages

As first reported recently in the Orlando Sentinel, a boom in the reverse-mortgage

Read article

October 16, 2009

FINRA to Expand Program Evaluating All-Public Arbitration Panels

The Financial Industry Regulatory Authority (FINRA) recently announced the expansion

Read article

October 15, 2009

Important securities and FINRA (NASD) links related to securities fraud,...

FINRA BrokerCheck/CRD (FINRA’s brokercheck allows anyone to check the registration

Read article

October 14, 2009

Frank Dipascali, Jr., formerly of Bernard L. Madoff Investment Securities...

On October 5, 2009 the Commission issued an Order Instituting Administrative

Read article

October 10, 2009

Financial adviser Won Sok Lee pleads guilty to multi-million dollar...

As first reported by the Sun Sentinel, a former Riviera Beach attorney recently

Read article

October 9, 2009

FINRA Fines Bank Broker-Dealers (McDonald Investments, IFMG Securities, Wells Fargo,...

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

Read article

October 8, 2009

FINRA issues alert about a recent auction rate securities “phishing”...

FINRA recently issued an Alert to warn the public about a recent auction rate

Read article

October 7, 2009

Roberto Etiel Rodriguez, formerly of Leumi Investment Services Inc. in...

FINRA recently announced that Roberto Etiel Rodriguez, formerly of Leumi Investment

Read article