Inside the Litigation Lion http://wealthmanagement.com/blog/148441/feed An inside view of trends in SEC/FINRA regulatory and compliance issues and how it affects individual financial advisors and their firms. en FINRA Hits The Rep While He is Down http://wealthmanagement.com/blog/finra-hits-rep-while-he-down <div class="node-body blog-body">FINRA, by its new rule, is again hurting the broker.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/finra-hits-rep-while-he-down" target="_blank">read more</a></p> http://wealthmanagement.com/blog/finra-hits-rep-while-he-down#comments Legal Regulation & Compliance Mobile Alert Inside the Litigation Lion Mon, 28 Apr 2014 19:09:00 +0000 547001 at http://wealthmanagement.com Reading The FINRA Enforcement Tea Leaves http://wealthmanagement.com/blog/reading-finra-enforcement-tea-leaves <div class="node-body blog-body">For several years the FINRA enforcement arm grew bigger and bigger. Its staff increased. The number of actions increased. The number of fines increased. The number of bars and suspensions increased. And the number of litigations/arbitrations was on the rise. Last year, however, appears to have finally fared better for the brokers. What do those numbers mean? </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/reading-finra-enforcement-tea-leaves" target="_blank">read more</a></p> http://wealthmanagement.com/blog/reading-finra-enforcement-tea-leaves#comments Blogs Legal Regulation & Compliance Inside the Litigation Lion Thu, 06 Mar 2014 14:00:00 +0000 507671 at http://wealthmanagement.com Death of the Small Broker-Dealer http://wealthmanagement.com/blog/death-small-broker-dealer <div class="node-body blog-body">Over the past decade, a tremendous amount of pressure has been laid on the shoulders of the small broker-dealers of the securities industry. Like the iconic Willy Loman in Arthur Miller’s Death of a Salesman, these small and/or independent brokerages are allotted a significantly shorter leash than they have been in years past...</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/death-small-broker-dealer" target="_blank">read more</a></p> http://wealthmanagement.com/blog/death-small-broker-dealer#comments IBDs Legal Commentary Litigation Regulation & Compliance Wealth Planning Freemium Inside the Litigation Lion Tue, 18 Jun 2013 14:29:00 +0000 309182 at http://wealthmanagement.com Five Tips To Prevent A Suit Against a Stock Broker http://wealthmanagement.com/blog/five-tips-prevent-suit-against-stock-broker <div class="node-body blog-body">Times are great. The market is soaring. Stocks are generally doing well. And the woes of 2007 and 2008 are a faded memory. And, of course, all customers are singing the praises of their registered representatives – until the next crises. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/five-tips-prevent-suit-against-stock-broker" target="_blank">read more</a></p> http://wealthmanagement.com/blog/five-tips-prevent-suit-against-stock-broker#comments Industry Legal Commentary Litigation Inside the Litigation Lion Mon, 15 Apr 2013 14:37:00 +0000 271441 at http://wealthmanagement.com FINRA’s “Present,” The Wells Notice: Is It Beatable? http://wealthmanagement.com/blog/finra-s-present-wells-notice-it-beatable <div class="node-body blog-body">So, you go to your mailbox and receive a letter from FINRA or the SEC which is titled a Wells Notice. Is it the beginning of the end of your career? Far from it! </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/finra-s-present-wells-notice-it-beatable" target="_blank">read more</a></p> http://wealthmanagement.com/blog/finra-s-present-wells-notice-it-beatable#comments Industry Legal Litigation Regulation & Compliance Inside the Litigation Lion Thu, 13 Dec 2012 15:37:00 +0000 233921 at http://wealthmanagement.com Obama's Reelection - Buckle Up Broker http://wealthmanagement.com/blog/obamas-reelection-buckle-broker-1 <div class="node-body blog-body">In the wake of President Obama’s recent reelection, the nation is certain to face a bevy of changes.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/obamas-reelection-buckle-broker-1" target="_blank">read more</a></p> http://wealthmanagement.com/blog/obamas-reelection-buckle-broker-1#comments Industry Legal Litigation Regulation & Compliance Inside the Litigation Lion Thu, 22 Nov 2012 14:32:00 +0000 227321 at http://wealthmanagement.com The Form U-5: Why New York Got It Wrong http://wealthmanagement.com/blog/form-u-5-why-new-york-got-it-wrong <div class="node-body blog-body">Richard Roth, Esq., of The Roth Law Firm, opines, now that the dust has settled on the controversial decision in Rosenberg, which deemed Form U-5 statements immune from defamation litigation, the New York courts simply got it all wrong.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/form-u-5-why-new-york-got-it-wrong" target="_blank">read more</a></p> http://wealthmanagement.com/blog/form-u-5-why-new-york-got-it-wrong#comments Industry Legal Litigation Regulation & Compliance Practice Management Inside the Litigation Lion Sun, 19 Aug 2012 02:00:00 +0000 214951 at http://wealthmanagement.com Why the SEC Should Not Be Untouchable http://wealthmanagement.com/blog/why-sec-should-not-be-untouchable <div class="node-body blog-body">Throughout the rise of the financial industry, there has been a justifiably strong desire on the part of individuals and broker-dealers to hold the SEC accountable for its regulating (or lack thereof) of the securities market.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/why-sec-should-not-be-untouchable" target="_blank">read more</a></p> http://wealthmanagement.com/blog/why-sec-should-not-be-untouchable#comments Industry Legal Litigation Regulation & Compliance News Practice Management Inside the Litigation Lion Fri, 27 Jul 2012 15:10:00 +0000 212371 at http://wealthmanagement.com The Whistleblower Act – Is It Working? http://wealthmanagement.com/blog/whistleblower-act-it-working-0 <div class="node-body blog-body">Since the August 2011 adoption of the Dodd-Frank Wall Street Reform and Consumer Protection (Dodd-Frank) Act, the barriers for employees of SEC-regulated corporations and financial institutions to report wrongdoing by their companies (known as whistleblowing) have been significantly lowered. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/whistleblower-act-it-working-0" target="_blank">read more</a></p> http://wealthmanagement.com/blog/whistleblower-act-it-working-0#comments Industry Legal Litigation Opinions Regulation & Compliance News Practice Management Inside the Litigation Lion Fri, 13 Jul 2012 19:01:00 +0000 210341 at http://wealthmanagement.com Regulators Go After Little Firms, It’s an Easy Win http://wealthmanagement.com/blog/regulators-go-after-little-firms-it-s-easy-win-0 <div class="node-body blog-body">Since the Madoff debacle, we have regularly seen articles about enforcement &quot;ramping up,&quot; and &quot;getting tougher, more vigilant.&quot; But is that really true?</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/regulators-go-after-little-firms-it-s-easy-win-0" target="_blank">read more</a></p> http://wealthmanagement.com/blog/regulators-go-after-little-firms-it-s-easy-win-0#comments Inside the Litigation Lion Mon, 25 Jun 2012 18:01:00 +0000 149431 at http://wealthmanagement.com