Using arbitration to resolve securities disputes

Although stockbrokers and brokerage firms legally have an obligation to act in the best interests of their clients, unfortunately, that does not always happen. In a high-stakes financial situation, you could find yourself the victim of misconduct by your financial representative for any number of reasons, including: Churning Misappropriation Unauthorized trading Failure to diversify Misrepresentations …

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Partnering with a law firm is essential to be in compliance with securities regulatory issues

At times, publicly traded companies and corporations can find themselves the focus of a government inquiry or investigation. These inquiries may come from securities regulatory enforcement agencies such as the Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA). The inquiries and investigations can center around any …

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