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Promissory Notes Financial Industry Regulatory Authority (FINRA)

Troutman Pepper

Securities Industry Arbitrations and Litigation Update: FINRA Member Firms Don’t Forget to “Dot Your I’s and Cross Your T’s” in...

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As any Wall Street litigator knows, in the securities industry, it is typical for brokerage firms to incentivize their employed financial advisers with significant upfront compensation at the beginning of a relationship or...more

Troutman Pepper

Securities Industry Arbitrations and Litigation Update: FINRA Arbitration Statistics Through May 31 Evidence Continuing Decline of...

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The Financial Institutions Regulatory Authority (FINRA) has made its arbitration statistics for the year 2021, through May 31, available on its website. Overall, FINRA experienced an intriguing 19% decline in the number of...more

Bass, Berry & Sims PLC

Chris Lazarini Provides Insight on Appointment of Receiver

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini provided additional insight case in which a former investment advisor at UBS sought to prevent the company from collecting on promissory notes the advisor owed to UBS upon his...more

Bass, Berry & Sims PLC

Chris Lazarini Further Examines Case Involving Advisor’s Effort to Avoid Paying a Promissory Note

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Bass, Berry & Sims attorney Chris Lazarini examined further developments in a case involving a former UBS investment advisor’s attempt to prevent the company from collecting on promissory notes the advisor owed to UBS upon...more

Dorsey & Whitney LLP

SEC, FINRA, DC Sanction Success Trade

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A recurrent theme in today’s enforcement environment is parallel and often overlapping proceedings. That is the case with a District of Columbia based broker that drew sanctions from the SEC, FINRA and DC. In the Matter of...more

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