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UB Greensfelder LLP

I Am “Investigating” The Fact That Claimant’s Lawyers Use BrokerCheck In A Way FINRA Did Not Intend

UB Greensfelder LLP on

I get the fact that anyone silly enough to work for a broker-dealer knowingly chooses to live in a fishbowl. Thanks to BrokerCheck, you can very easily learn more about a registered representative than you can about, say, a...more

Blank Rome LLP

SEC Charges EB-5 Brokers with Violation of the Exchange Act

Blank Rome LLP on

Action Item: In what is expected to be the first of many cease-and-desist orders made by the SEC against brokers handling investments in EB-5 investment projects, all EB-5 organizers and sponsors, through their due diligence,...more

BakerHostetler

Indecent Exposure: FTC Obtains Injunctions Against Debt Brokers for Improperly Published Consumer Information

BakerHostetler on

On November 12, 2014, the Federal Trade Commission announced that the District Court for the District of Columbia had entered preliminary injunctions against two debt sellers which, together, had improperly posted personal...more

Katten Muchin Rosenman LLP

NFA Changes Public Display of FCM Financial Information on BASIC

Katten Muchin Rosenman LLP on

Beginning November 25, the National Futures Association (NFA) will display additional information on each futures commission merchant’s (FCM’s) BASIC page, including the amount of customer funds held at clearing organizations...more

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