Most Recent Blog Posts

Apr 28, 2014

FINRA Hits The Rep While He is Down

FINRA, by its new rule, is again hurting the broker....More
Mar 06, 2014

Reading The FINRA Enforcement Tea Leaves

For several years the FINRA enforcement arm grew bigger and bigger. Its staff increased. The number of actions increased. The number of fines....More
Jun 18, 2013

Death of the Small Broker-Dealer

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....More
Apr 15, 2013

Five Tips To Prevent A Suit Against a Stock Broker

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....More
Dec 13, 2012

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

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....More
Nov 22, 2012

Obama's Reelection - Buckle Up Broker

In the wake of President Obama’s recent reelection, the nation is certain to face a bevy of changes....More
Aug 18, 2012

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

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....More
Jul 27, 2012

Why the SEC Should Not Be Untouchable

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....More
Jul 13, 2012

The Whistleblower Act – Is It Working?

Since the August 2011 adoption of the Dodd-Frank Wall Street Reform and Consumer Protection (Dodd-Frank) Act, the barriers for employees of SEC-....More
Jun 25, 2012

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

Since the Madoff debacle, we have regularly seen articles about enforcement "ramping up," and "getting tougher, more vigilant."....More
Jun 25, 2012

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

The SEC and FINRA created the Suitability Rule with the publicly-professed intention of improving the efficiency of the securities industry....More
Jun 18, 2012

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

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

Richard Roth

Richard Roth is the founder and president of The Roth Law Firm, PLLC, a boutique litigation firm that concentrates in litigating securities arbitrations and SEC/FINRA enforcement actions. He...
What's Inside the Litigation Lion?

An inside view of trends in SEC/FINRA regulatory and compliance issues and how it affects individual financial advisors and their firms.

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