I regularly cover FINRA U4 criminal disclosure cases in my Forbes' "Street Sweeper" column. If you are a registered person who has recently been arrested for, charged with, pled to, or been found guilty of a criminal matter, please see these recent articles for guidance on how these issues impact your registration and filing obligations:
Insult Added to Injury in Puerto Rico Bond Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5808/puerto-rico-bond-finra/A public custome... Read On
A public customer filed a FINRA arbitration claim citing nearly $6 million in losses in Puerto Rico municipal bonds. The Claimant took his place on a ... Read On
Another day and another dispute about whether an employment dispute is arbitrable before FINRA. In today's iteration, we got two former employees of a... Read On
So . . . the other day, April 9, 2021, I came across another one of FINRA's urgent, all-important, uber-critical Regulatory Notices. This one was numb... Read On
On April 12, 2021, the New York Stock Exchange ("NYSE") announced that it would be minting its first Non-Fungible Tokens ("NFTs") in order to memorial... Read On
If you file a securities fraud claim under Section 10(b) of the Securities Exchange Act of 1934, a basic element of your proof must be to show th... Read On
Customer Complaints and Away Settlements -- Matters of Interpretation? (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5788/finra-complaint-set... Read On