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Winstead PC

Cybersecurity: Don’t Become a Different Kind of Victim

Winstead PC on

A former broker at a national brokerage firm was recently sanctioned by FINRA after accepting instructions to transfer assets out of a client account. The problem? The instructions were actually sent by an imposter who had...more

Fox Rothschild LLP

Brokers Have To Be Reminded To Avoid Using Personal Emails And Texts

Fox Rothschild LLP on

Despite numerous warnings, some people just do not get it. The SEC barred a broker from the industry because the broker used personal email and text messages to obtain client investments....more

Burr & Forman

Scam Spammers Use IM Apps to Pump & Dump

Burr & Forman on

In a September 2 Alert, FINRA warns that scammers are using messaging app spam-casts to impersonate brokers and tout micro-cap stocks to “pump” their prices, before “dumping” their positions at the top and leaving investors...more

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