Archives

2023-10-24: Updated: 2023-10-24 18:34:05 SEC DIVISION OF EXAMINATIONS ANNOUNCES 2024 EXAM PRIORITIES

Herskovits, PLLC

2022-12-16: Updated: 2022-12-16 11:00:15 FINRA FINES AND SUSPENDS REGISTERED REPRESENTATIVE FOR FACEBOOK POSTS

Herskovits, PLLC

2022-11-10: Updated: 2022-11-10 15:58:38 FINRA PROVIDES GUIDANCE ON FINANCIAL ADVISOR SUCCESSION PLANS

Herskovits, PLLC

2022-10-07: Updated: 2022-10-07 11:31:24 ARE RETIRING FA SUNSET PLANS RIFE WITH ABUSE?

Herskovits, PLLC

2022-10-04: Updated: 2022-10-05 10:20:27 FINRA RULES EX PARTE TEMPORARY RESTRAINING ORDER RESULTS IN STATUTORY DISQUALIFICATION

Herskovits, PLLC

2022-09-30: Updated: 2022-09-30 14:24:09 SEC ANNOUNCES EXAMINATION FOCUS ON NEW RIA MARKETING RULE

Herskovits, PLLC

2022-09-16: Updated: 2022-09-16 14:24:45 SEC CHARGES INVESTMENT ADVISER FOR FAILING TO DISCLOSE SPAC-RELATED CONFLICTS

Herskovits, PLLC

2022-09-01: Updated: 2022-09-01 11:10:56 FINRA AWC PROVIDES A PRIMER ON ACTIVITIES VIEWED AS AML RED FLAGS

Herskovits, PLLC

2022-08-12: Updated: 2022-08-12 14:53:03 FINRA RELEASES GUIDANCE ON SUPERVISION RELATING TO DIGITAL SIGNATURES

Herskovits, PLLC

2022-08-04: Updated: 2022-08-04 11:41:25 SEC CHARGES CONVERTIBLE NOTE DEALER WITH FAILURE TO REGISTER

Herskovits, PLLC

2022-07-25: Updated: 2022-07-25 16:00:17 FINRA ENDS MANDATORY ARBITRATION FOR CLAIMS OF SEXUAL HARASSMENT OR SEXUAL ASSAULT

Herskovits, PLLC

2022-07-15: Updated: 2022-07-15 15:53:56 FINRA ENFORCEMENT SEEKS BAR FOR FAILURE TO ATTEND AN OTR AND GETS DENIED BY THE OHO

Herskovits, PLLC

2022-07-11: Updated: 2022-07-11 11:22:07 FINRA HEARING PANEL REJECTS “NO HARM, NO FOUL” DEFENSE

Herskovits, PLLC

2022-06-23: Updated: 2022-06-23 15:53:10 SEC BRINGS FIRST CHARGES FOR VIOLATION OF REGULATION BEST INTEREST

Herskovits, PLLC

2022-06-03: Updated: 2022-06-03 12:45:45 ELON MUSK AND MARK CUBAN FILE AMICUS BRIEF URGING SUPREME COURT TO TAKE UP THE SEC GAG RULE

Herskovits, PLLC

2022-05-20: Updated: 2022-05-20 08:48:55 FINRA HITS AN FA FOR RUNNING A SUBSCRIPTION-BASED INVESTOR WEBSITE

Herskovits, PLLC

2022-05-11: Updated: 2022-05-11 11:55:18 FINRA RELEASES PAPER REGARDING EXPUNGEMENT OF CUSTOMER COMPLAINTS

Herskovits, PLLC

2022-05-05: Updated: 2022-05-05 13:50:25 STATE SECURITIES REGULATOR MOVES TO VACATE A FINRA ARBITRATION EXPUNGMENT AWARD

Herskovits, PLLC

2022-04-25: Updated: 2022-04-25 12:36:51 FINRA RULE 3280: WHAT DOES IT MEAN TO “PARTICIPATE” IN A PRIVATE SECURITIES TRANSACTION?

Herskovits, PLLC

2022-04-19: Updated: 2022-04-20 10:51:28 GAG ORDERS USED BY FINRA UNDER REVIEW BY SCOTUS

Herskovits, PLLC

2022-04-03: Updated: 2022-04-03 15:52:51 HERSKOVITS PLLC INVESTIGATES DEFERRED COMP CLAIMS FOR FORMER MORGAN STANLEY ADVISORS

Herskovits, PLLC

2022-03-22: Updated: 2022-03-22 12:10:59 FINRA Enforcement Puts Chief Compliance Officers on Notice

Herskovits, PLLC

2022-03-15: Updated: 2022-03-15 16:04:49 Will We See a Spike in Margin Liquidations Due to SEC Guidance?

Herskovits, PLLC

2022-03-07: Updated: 2022-03-08 12:08:03 Summary of FINRAs Examination and Risk Monitoring Program Findings for 2022

Herskovits, PLLC

2022-02-16: Updated: 2022-02-16 15:12:42 Hacking the Unhackable and Tracing the Untraceable

Herskovits, PLLC

2022-01-21: Updated: 2022-01-21 16:49:09 FORM U4 CRIMINAL HISTORY DISCLOSURES

Herskovits, PLLC

2021-07-07: Updated: 2021-07-07 16:39:22 FINRA HITS AN FA FOR REASONABLE-BASIS SUITABILITY VIOLATION WITH NON-TRADITIONAL ETFs

Herskovits, PLLC

2021-05-06: Updated: 2021-05-06 12:09:07 FINRA ARBITRATION AWARD DESCRIBES MERRILL LYNCH’S “RECKLESS DISREGARD FOR THE TRUTH” IN A FORM U5 FILING 

Herskovits, PLLC

2021-01-27: Updated: 2021-01-27 12:16:55 SEC DENIES ODD-BALL WHISTLEBLOWER CLAIM

Herskovits, PLLC

2020-11-24: Updated: 2020-11-24 14:42:59 Herskovits PLLC Proves Form U5 Defamation and is Awarded Attorneys’ Fees for Our Client

Herskovits, PLLC

2020-09-27: Updated: 2020-09-27 20:58:22 FINRA SEEKS TO LIMIT EXPUNGEMENT REQUESTS WITH PROPOSED RULE

Herskovits, PLLC

2020-09-11: Updated: 2020-09-11 15:59:50 FINRA SETTLEMENT CASTS DOUBT ON PROTOCOL FOR BROKER RECRUITING PROTECTIONS

Herskovits, PLLC

2020-07-21: Updated: 2020-07-21 12:48:38 FINRA ISSUES REPORT ON ARTIFICIAL INTELLIGENCE IN THE SECURITIES INDUSTRY

Herskovits, PLLC

2020-06-09: Updated: 2020-06-09 16:26:11 THE SEC’s WAR ON 12b-1 FEES

Herskovits, PLLC

2020-05-14: Updated: 2020-05-14 15:23:47 FINRA CRUSHES AN ANALYST FOR DISCLOSING PROPRIETARY INFORMATION

Herskovits, PLLC

2020-05-02: Updated: 2020-05-02 13:50:14 CALIFORNIA ENDS ABSOLUTE IMMUNITY FOR FORM U5 DEFAMATION CLAIMS

Herskovits, PLLC

2020-04-27: Updated: 2020-04-27 16:48:59 FINRA REMINDS FAs THAT NO GOOD DEEDS GO UNPUNISHED

Herskovits, PLLC

2020-04-05: Updated: 2020-04-05 14:18:08 FINRA RAMPS-UP CASES FOR UNDISCLOSED OUTSIDE BUSINESS ACTIVITIES AND UNAPPROVED PRIVATE SECURITIES TRANSACTIONS

Herskovits, PLLC

2020-03-23: Updated: 2020-03-23 11:14:06 FINRA BARS FA JAMES DAUGHTRY FOR FAILING TO COOPERATE WITH THE REGULATOR

Herskovits, PLLC

2020-03-22: Updated: 2020-03-22 20:51:28 RESPONDING TO A SUBPOENA FROM THE CFTC

Herskovits, PLLC

2020-03-20: Updated: 2020-03-20 18:19:42 FEDERAL COURT EXPANDS THE DEFINITION OF “CUSTOMER” FOR PURPOSES OF COMPELLING FINRA ARBITRATION

Herskovits, PLLC

2020-03-12: Updated: 2020-03-12 13:52:07 FINRA CHARGES AN FA FOR STRUCTURING CASH DEPOSITS AND WITHDRAWALS

Herskovits, PLLC

2020-03-05: Updated: 2020-03-05 11:28:27 FA CLAIMS THAT FINRA OBTAINED HIS SETTLEMENT BY FRAUDULENT INDUCEMENT

Herskovits, PLLC

2020-02-05: Updated: 2020-02-05 11:33:58 VIRGINIA BANS MANDATORY ARBITRATION IN ADVISORY AGREEMENTS

Herskovits, PLLC

2020-01-31: Updated: 2020-01-31 17:09:54 FINRA BARS A SUPERVISOR FOR THE MISDEEDS OF ANOTHER

Herskovits, PLLC

2020-01-10: Updated: 2020-01-10 14:29:23 UBS DEFAMES AN FA BUT STILL WINS BIG

Herskovits, PLLC

2020-01-06: Updated: 2020-01-06 16:03:22 FINRA Attacks Suitability By Challenging FAs Product Knowledge

Herskovits, PLLC

2019-12-30: Updated: 2020-01-03 12:12:17 FINRA ARBITRATORS REFUSE TO PERMIT FAs TESTIMONY: BUT THEY DID HEAR FROM THE SUBSTITUTE TEACHER

Herskovits, PLLC

2019-12-29: Updated: 2019-12-29 15:41:08 FINRA HITS AN FA FOR FAILING TO DISCLOSE BENEFICIAL OWNERSHIP OF AN ACCOUNT

Herskovits, PLLC

2019-12-17: Updated: 2020-01-03 12:00:24 FINRA DROPS THE STATUTORY DISQUALIFICATION HAMMER

Herskovits, PLLC

2019-12-13: Updated: 2020-01-03 11:59:05 UBS IS SLAMMED FOR FORM U5 DEFAMATION: QUALIFIED IMMUNITY PREVAILS

Herskovits, PLLC

2019-11-21: Updated: 2019-11-21 16:26:03 FINRA ACCUSES NY LIFE OF FALSIFYING CUSTOMERS’ INVESTMENT OBJECTIVES: OUCH

Herskovits, PLLC

2019-11-20: Updated: 2019-11-20 15:52:45 FINRA DINGS ANOTHER FA FOR A PRIVATE SECURITIES TRANSACTION VIOLATION

Herskovits, PLLC

2019-10-21: Updated: 2019-12-30 14:46:11 Enforceability of a FINRA Arbitration Subpoena

Herskovits, PLLC

2019-06-28: Updated: 2019-12-30 14:46:39 Did You Lose Your Investment Because of Bad Advice? Why You Need an Attorney

Herskovits, PLLC

2019-06-21: Updated: 2019-12-30 14:47:17 How Can Arbitration Help Your FINRA Case?

Herskovits, PLLC

2019-06-14: Updated: 2019-12-30 14:47:41 What To Know About SEC Investigations

Herskovits, PLLC

2019-06-07: Updated: 2019-12-30 14:48:07 FINRA Regulatory Notice 19-10: Broker/Brokerage Firms Transition Communications

Herskovits, PLLC

2018-07-18: Updated: 2019-12-30 14:49:16 Chicago Cryptocurrency Trader Pleads Guilty to Stealing $3 Million in Litecoin and Bitcoin

Herskovits, PLLC

2018-07-18: Updated: 2019-12-30 14:49:44 A Pre-ICO Deal You Cannot Miss? Meet The SEC’s Brainchild, HoweyCoins

Herskovits, PLLC

2018-07-12: Updated: 2019-12-30 14:50:19 Georgia Court Ruling Diminishes Protocol Protections for Brokers

Herskovits, PLLC

2018-07-11: Updated: 2019-12-30 14:57:09 Massachusetts Watchdog Targets Broker-Dealers’ Inadequate Oversight of Private Placements

Herskovits, PLLC

2018-07-10: Updated: 2019-12-30 14:57:36 FINRA Regulatory Notice Encourages Members to Disclose Participation in Any Cryptocurrency-related Activities

Herskovits, PLLC

2018-07-09: Updated: 2019-12-30 14:58:10 WELLS FARGO Will Pay $480 Million to Settle Fraud & Insider Trading Class Action Brought by Shareholders

Herskovits, PLLC

2018-06-16: Updated: 2019-12-30 14:58:53 California Attorney Found Guilty in Pump-and-Dump Scheme Case Involving Greenway Technology and Crown Marketing

Herskovits, PLLC

2018-06-15: Updated: 2019-12-30 14:59:21 Merrill Lynch FAs Will Experience Pay Cuts Unless They Meet Certain Targets

Herskovits, PLLC

2018-06-11: Updated: 2019-12-30 14:59:36 CFTC Tells Judge It Has Jurisdiction Over Cryptocurrencies

Herskovits, PLLC

2018-05-22: Updated: 2020-01-03 11:56:16 CFTC Staff Advisory Offers Guidance for Listing Cryptocurrency Derivative Products

Herskovits, PLLC

2018-05-14: Updated: 2020-01-03 11:57:30 Anti-Money Laundering and Sanctions Compliance: New Challenges for Financial Institutions

Herskovits, PLLC

2018-05-12: Updated: 2020-01-03 11:58:11 Delaney Equity Group Could Face Probation and Steep Fines in “Shell Factory” Case

Herskovits, PLLC

2018-05-11: Updated: 2020-01-03 11:58:58 SEC and CFTC Cryptocurrency Regulation Chronology and Outlook for the Rest of 2018

Herskovits, PLLC

2018-05-10: Updated: 2020-01-03 11:59:35 SEC Court Order Follows Jay-Z Refusal to Cooperate

Herskovits, PLLC

2018-05-01: Updated: 2020-01-03 12:00:04 “CRAEFUL!” The Do’s & Don’ts of Cryptocurrency and ICO Investing

Herskovits, PLLC

2018-04-30: Updated: 2020-01-03 12:10:35 FINRA Imposes $550,000 Fines on Aegis Capital Over Anti-Money Laundering Violations

Herskovits, PLLC

2018-04-28: Updated: 2020-01-03 12:11:19 FINRA Fines Wedbush Securities $1.5 Million Over Violations Related to Customer Reserves and Net Capital Requirements

Herskovits, PLLC

2018-04-27: Updated: 2020-01-03 12:12:07 New Arrest in SEC Case Against Celebrity-backed ICO Centra Tech

Herskovits, PLLC

2018-04-21: Updated: 2020-01-03 12:12:56 SEC Proposes Regulation Best Interest to Protect Investors from Self-Serving Brokers

Herskovits, PLLC

2018-04-10: Updated: 2020-01-03 12:35:56 SEC Subpoena? How Cryptocurrency Companies Should Prepare

Herskovits, PLLC

2018-04-09: Updated: 2020-01-03 12:36:21 Cryptocurrency and ICO Space Prepare for Increasing SEC Scrutiny

Herskovits, PLLC

2018-04-07: Updated: 2020-01-03 12:36:52 SEC Suit Targets Fintech Startup Scam

Herskovits, PLLC

2018-03-24: Updated: 2020-01-03 12:37:20 Brooklyn Prosecutors Say ICOs are Securities in Alleged Fraud Case

Herskovits, PLLC

2018-02-26: Updated: 2020-01-03 12:39:22 SEC’s Lawsuit Against Woodbridge´s Robert Shapiro Over a 1.2 Billion Ponzi Scheme Has Many Ramifications

Herskovits, PLLC

2018-02-24: Updated: 2020-01-03 12:37:49 FINRA Fined Citigroup $11.5 Million and J.P. Morgan $2.8 Million

Herskovits, PLLC

2018-02-23: Updated: 2020-01-03 12:38:21 FINRA Issues Warning About Cryptocurrency Stock Scams

Herskovits, PLLC

2018-02-21: Updated: 2020-01-03 12:38:52 FINRA Proposes New Rules, Releases Budget for the First Time

Herskovits, PLLC

2018-02-17: Updated: 2020-01-03 12:39:43 SEC and CFTC Say Cryptocurrency and ICO Trading No Longer Off Their Radars

Herskovits, PLLC

2018-02-16: Updated: 2020-01-03 12:40:19 CFTC Targets Multi-Million Dollar Cryptocurrency Fraud with Multiple Suits

Herskovits, PLLC

2018-01-11: Updated: 2020-01-03 12:40:45 FINRA Plans to Crack Down on High-Risk Brokers, Are You at Risk?

Herskovits, PLLC

2017-12-14: Updated: 2020-01-03 18:53:29 FINRA Rules 2165 & 4512 – Elder Abuse in the Securities Industry

Herskovits, PLLC

2017-12-11: Updated: 2020-01-03 18:54:05 Former SEC Chair Warning: Lack of Oversight of Registered Investment Advisors an Impending Disaster

Herskovits, PLLC

2017-11-30: Updated: 2020-01-03 18:54:41 Morgan Stanley No Longer Bound by the Protocol for Broker Recruiting

Herskovits, PLLC

2017-11-20: Updated: 2020-01-03 18:55:09 SEC Enforcement Actions and Fines Plummet Under Trump

Herskovits, PLLC

2017-11-13: Updated: 2021-01-06 12:51:59 Sandlapper Securities Named in FINRA Exorbitant Fees Complaint re: Saltwater Well Investments

Herskovits, PLLC

2017-11-10: Updated: 2020-01-03 18:57:26 Former UBS Broker Wins $3 Million in Defamation Case

Herskovits, PLLC

2017-11-09: Updated: 2020-01-03 18:57:56 SEC Enforcement Executive Vows to Protect Retail Investors and Address Cyber Related Misconduct

Herskovits, PLLC

2017-10-31: Updated: 2020-01-03 18:59:03 Have FINRA’s “Poor Investments” Affected its Members?

Herskovits, PLLC

2017-10-30: Updated: 2020-01-03 18:59:37 FINRA’s Competency Exam Updates Lower Barriers for Industry Newcomers

Herskovits, PLLC

2017-10-27: Updated: 2020-01-03 19:00:14 NASAA Releases Annual Enforcement Report – Registered Members Top Enforcement Actions

Herskovits, PLLC

2017-10-18: Updated: 2020-01-03 19:00:45 SEC Accuses Two NYC Brokers of Defrauding Customers

Herskovits, PLLC

2017-10-10: Updated: 2020-01-03 19:01:21 FINRA VOWS TO LIMIT EXPUNGEMENTS – Rules and Realities

Herskovits, PLLC

2017-10-07: Updated: 2020-01-03 19:02:31 FINRA Censures and Fines New York Firm $750,000 Over Its Role In Death Put Scheme

Herskovits, PLLC

2017-09-20: Updated: 2020-01-03 19:03:16 Dishonest Trader Must Disclose Commodity Law Violations in Public Communications

Herskovits, PLLC

2017-09-18: Updated: 2020-01-03 19:03:52 FINRA CEO Cook Grilled by Congress on FINRA’s Financial Conduct

Herskovits, PLLC

2017-09-15: Updated: 2020-01-03 19:04:40 Evolution of Publicly Traded Stock Ownership in the US 1990s-2016

Herskovits, PLLC

2017-09-06: Updated: 2020-01-03 19:05:11 Ironbridge Global Partners and a Subsidiary to Pay $4.4 Million Settlement over Microcap Finance Practices

Herskovits, PLLC

2017-08-30: Updated: 2020-01-03 19:05:47 FINRA Fine Stats 2016 vs. 2017 and Enforcement Trends

Herskovits, PLLC

2017-08-29: Updated: 2020-01-03 19:06:20 FINRA Vows to Protect Investors from High-Risk Brokers

Herskovits, PLLC

2017-08-24: Updated: 2020-01-03 19:06:53 SEC Seeks Injunction in Case Against Avalon FA Ltd. Over Illegal Market Manipulation Known as Layering

Herskovits, PLLC

2017-08-22: Updated: 2020-01-03 19:07:41 Raiding Cases in the Securities Industry – Navigating Claims, Damages & the Rest

Herskovits, PLLC

2017-08-16: Updated: 2020-01-03 19:08:25 $4.8M in FINRA Fines for 4 Firms on Supervisory Gap & Deutsche Bank $12.5M on Failed Supervision of Internal Comms

Herskovits, PLLC

2017-08-05: Updated: 2020-01-03 19:09:03 FINRA Disciplinary Proceedings – Inside FINRA’s Complaint and Hearing Process

Herskovits, PLLC

2017-08-03: Updated: 2020-01-03 19:09:44 Keeping the Record Straight – FINRA Cracks Down on Firms for Failing to Protect Records

Herskovits, PLLC

2017-07-31: Updated: 2020-01-03 19:10:16 FINRA Chief Counsel on Emerging Regulatory Issues and Enforcement Priorities

Herskovits, PLLC

2017-07-24: Updated: 2020-01-03 19:11:08 Cal-based Representative Jim Seol Barred by FINRA – Failure to Disclose $100 Million in EB-5 Investments to Employer

Herskovits, PLLC

2017-07-21: Updated: 2020-01-03 19:11:37 SEC Focuses on BSA AML Enforcement, Utah’s Alpine Securities Charged with Systematic Violations

Herskovits, PLLC

2017-07-10: Updated: 2020-01-03 19:12:10 FINRA Investigation Defenses, Process & Rule 8210 Realities

Herskovits, PLLC

2017-06-27: Updated: 2020-01-03 19:13:31 LPL’s Bonds Learns 3240 No Borrowing From Customers Lesson

Herskovits, PLLC

2017-06-02: Updated: 2020-01-03 19:14:22 Barclays Reaches $97 Million Settlement with SEC

Herskovits, PLLC

2017-05-22: Updated: 2020-01-03 19:15:02 Albany Investment Firm Agrees to Pay Tribe $3.4 Million Over Fraudulent Sale of Non-Traded REITs and BDCs

Herskovits, PLLC

2017-05-20: Updated: 2020-01-03 19:15:45 FINRA Settles Complaint Over Undisclosed Tax Liens Over $1 MIllion

Herskovits, PLLC

2017-05-15: Updated: 2020-01-06 13:45:33 Broker Denied FINRA Expungement after Settlement – Tightening Rules and the Need for Legal Representation

Herskovits, PLLC

2017-05-12: Updated: 2020-01-06 13:46:06 AML Regulators Target Capital One’s Check Cashing Businesses

Herskovits, PLLC

2017-05-05: Updated: 2020-01-06 13:46:39 FINRA’s Revised Sanction Guidelines

Herskovits, PLLC

2017-04-27: Updated: 2020-01-06 13:47:04 SEC Loses in Its Own Court – Charges Dismissed in Radiant Systems Insider Trading Case

Herskovits, PLLC

2017-04-18: Updated: 2020-01-06 13:47:34 FINRA Fines TD Bank Unit over Failure to Review Emails

Herskovits, PLLC

2017-04-12: Updated: 2020-01-06 13:48:05 Between the Forgotten Investor and CEO Pay Ratio Disclosures – Piwowar’s Vision for the SEC

Herskovits, PLLC

2017-04-11: Updated: 2020-01-06 13:48:29 FINRA Implements New Rule and Procedures to Prevent Financial Exploitation of Seniors

Herskovits, PLLC

2017-03-13: Updated: 2020-01-06 13:49:03 SunTrust Might Face SEC Enforcement Actions Over Alleged Self-Serving Investment Recommendations

Herskovits, PLLC

2017-02-06: Updated: 2020-01-06 13:49:35 Mexico in Crosshairs Of Precedent Setting 2016 FCPA Enforcement Actions

Herskovits, PLLC

2017-01-17: Updated: 2020-01-06 13:49:59 FINRA Fines Credit Suisse $16.5M for Anti-Money Laundering Program Failures

Herskovits, PLLC

2017-01-09: Updated: 2020-01-06 13:50:25 FINRA Enforcement Focus 2017: 6 Common Broker-Dealer AML Program Deficiencies

Herskovits, PLLC

2016-11-30: Updated: 2020-01-06 13:50:52 Merrill Lynch Pays $7 Million Penalty for Inadequate Brokerage Account Supervision

Herskovits, PLLC

2016-11-28: Updated: 2020-01-06 13:51:22 FINRA Fines VALIC Financial Advisors $1.75M for Compensation Plan Conflicts of Interest

Herskovits, PLLC

2016-11-15: Updated: 2020-01-06 13:51:50 Avoiding Emerging Cybersecurity Whistleblower Pitfalls

Herskovits, PLLC

2016-11-01: Updated: 2020-01-06 13:58:19 SEC Announces Record Enforcement Actions for FY2016

Herskovits, PLLC

2016-10-01: Updated: 2020-01-06 13:58:46 Capital Acquisition Brokers: Is FINRA’s New Broker-Dealer Category a Good Deal?

Herskovits, PLLC

2016-08-01: Updated: 2020-01-06 13:59:13 Andrew Ceresney: SEC Enforcement Expands Focus on Private Equity Broker-Dealer Activities

Herskovits, PLLC

2016-01-06: Updated: 2020-01-06 14:19:44 FINRA’s Top 5 Enforcement Action Sanctions Of 2015

Herskovits, PLLC

2013-05-08: Updated: 2020-01-06 14:20:09 FINRA Identifies “Red Flags” for AML Compliance

Herskovits, PLLC

2013-04-01: Updated: 2020-01-06 14:23:52 4th Circuit Further Defines A “Customer” Under FINRA Arbitration Rules

Herskovits, PLLC

2013-02-11: Updated: 2020-01-06 14:24:54 FINRA Hits Lincoln Financial With Failure to Supervise Concerning a Ponzi Scheme

Herskovits, PLLC

2013-02-04: Updated: 2020-01-06 14:25:18 Herskovits PLLC Submits Comments to FINRA Proposed Rule on Recruitment Compensation Practices

Herskovits, PLLC

2013-01-29: Updated: 2020-01-06 14:25:43 Courts Lining Up in Favor of Broad Definition of Customer Under FINRA Rules

Herskovits, PLLC

2013-01-15: Updated: 2020-01-06 14:26:12 FINRA Is Looking for Additional Disclosure on Up Front Loans to Reps

Herskovits, PLLC

2012-11-06: Updated: 2020-01-06 14:27:02 Enforcement Report Issued by State Securities Regulators Emphasize RIAs

Herskovits, PLLC

2012-11-01: Updated: 2020-01-06 14:27:53 FINRA Exec Lays Out FINRA’s Enforcement Agenda

Herskovits, PLLC

2012-10-23: Updated: 2020-01-06 14:28:41 FINRA Provides Guidance for Supervisory Review of Email

Herskovits, PLLC

2012-10-16: Updated: 2020-01-06 14:29:08 Fidelity Wins Against Morgan Stanley in a Non-Protocol Solicitation Case

Herskovits, PLLC

2012-10-12: Updated: 2020-01-06 14:29:28 FINRA Arbitrators Start Getting Tough With Discovery Abuses

Herskovits, PLLC

2012-06-19: Updated: 2020-01-06 14:30:13 FINRA DISCIPLINARY ACTIONS – JUNE 2012 UPDATE

Herskovits, PLLC

2012-06-13: Updated: 2020-01-06 14:30:43 Are You Making “Suitable” Recommendations?

Herskovits, PLLC

2012-06-04: Updated: 2020-01-06 14:31:07 Regulators probe bank’s role in Facebook IPO

Herskovits, PLLC

2012-06-03: Updated: 2020-01-06 14:31:33 NY top court weighs claim from investment

Herskovits, PLLC