Inside the Litigation Lion

Five Tips To Prevent A Suit Against a Stock Broker

Mon, 15 Apr 2013 14:37:00 +0000

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.

Inside the Litigation Lion

FINRA’s “Present,” The Wells Notice: Is It Beatable?

Thu, 13 Dec 2012 15:37:00 +0000

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!

Inside the Litigation Lion

Obama's Reelection - Buckle Up Broker

Thu, 22 Nov 2012 14:32:00 +0000

In the wake of President Obama’s recent reelection, the nation is certain to face a bevy of changes.

Inside the Litigation Lion

The Form U-5: Why New York Got It Wrong

Sun, 19 Aug 2012 02:00:00 +0000

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.

Inside the Litigation Lion

Why the SEC Should Not Be Untouchable

Fri, 27 Jul 2012 15:10:00 +0000

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.

Inside the Litigation Lion

The Whistleblower Act – Is It Working?

Fri, 13 Jul 2012 19:01:00 +0000

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.

Inside the Litigation Lion

Regulators Go After Little Firms, It’s an Easy Win

Mon, 25 Jun 2012 18:01:00 +0000

Since the Madoff debacle, we have regularly seen articles about enforcement "ramping up," and "getting tougher, more vigilant." But is that really true?

Inside the Litigation Lion

How the SEC and FINRA are in Danger of Destroying Their Own Industry

Mon, 25 Jun 2012 17:54:00 +0000

The SEC and FINRA created the Suitability Rule with the publicly-professed intention of improving the efficiency of the securities industry.

Inside the Litigation Lion

Regulators Go After Little Firms, It’s an Easy Win

Mon, 18 Jun 2012 17:48:00 +0000

Since the Madoff debacle, we have regularly seen articles about enforcement "ramping up," and "getting tougher, more vigilant." But is that really true?