The Trusted Attorney For Victims And Families
A former Cetera Advisors representative has been barred by FINRA, which has made big news in Pennsylvania. And while this might sound extreme, the cause of such a severe action was taken was due to an equally severe offense. The individual was found to be taking money...
The Employee Retirement Income Security Act (ERISA) guarantees benefits to employees who are enrolled in qualified retirement plans. Pennsylvania employers and employees must adhere to a list of ongoing requirements to ensure that employees receive their benefits in...
The U.S. Securities and Exchange Commission (SEC) has its own methods of tracking the illegal practice of insider trading. The purpose is to ensure that no one has an unfair upper hand in trading on the stock exchange. The SEC has a responsibility to protect the...
An investment client who feels that his or her affairs have been mishandled can file a dispute resolution claim. However, more problems may occur when arbitrators make the wrong decisions. Judges and court officials in Pennsylvania are needed to readdress and modify...
The Employee Retirement Income Security Act (ERISA) is a federal law that sets nationwide regulations on how employers have to provide private retirement plans to employees. ERISA defines the requirements for providing information to participants and setting minimum...
In 2021, the U.S. Court of Appeals for the Second Circuit reinforced the rule that federal laws do not apply to predominantly foreign transactions, even those that occur in the U.S. Previously used securities tests and laws are no longer relevant to extraterritorial...
Whenever a person or entity in Pennsylvania violates federal security laws, regulations and rules, they are subject to fines enforced by FINRA. FINRA enforcements also apply to the violators of the Municipal Securities Rulemaking Board. What FINRA does FINRA, the...
The Financial Industry Regulatory Authority, or FINRA, is a self-regulatory organization in the United States that regulates the practices of investment brokerage firms. FINRA has released reports that brokerage firms are not following Regulation Best Interest...
The Financial Industry Regulatory Authority, or FINRA, is a private organization that regulates the activities of brokerage firms and trading exchange markets. The purpose of FINRA is to monitor, review and control their activities and release reports to the public....
Investing in the stock market and other financial instruments takes a leap of faith. While most Pennsylvania investment advisors are honest with their clients, some are not, resulting in white-collar fraud. Victims of such crimes should take the proper steps to ensure...
