Contributors

Richard Roth

Richard Roth is the founder and president of The Roth Law Firm, PLLC, a boutique litigation firm that...

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 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....More
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.

Blog Archive

Sponsored Introduction Continue on to (or wait seconds) ×