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: 2019-10-21 10:13:42 Enforceability of a FINRA Arbitration Subpoena Herskovits, PLLC
2019-06-28: Updated: 2019-06-28 18:52:06 Did You Lose Your Investment Because of Bad Advice? Why You Need an Attorney Herskovits, PLLC
2019-06-07: Updated: 2019-06-07 18:38:47 FINRA Regulatory Notice 19-10: Broker/Brokerage Firms Transition Communications Herskovits, PLLC
2018-07-18: Updated: 2018-07-18 18:40:36 Chicago Cryptocurrency Trader Pleads Guilty to Stealing $3 Million in Litecoin and Bitcoin Herskovits, PLLC
2018-07-18: Updated: 2018-07-18 10:10:55 A Pre-ICO Deal You Cannot Miss? Meet The SEC’s Brainchild, HoweyCoins Herskovits, PLLC
2018-07-12: Updated: 2019-09-04 10:32:31 Georgia Court Ruling Diminishes Protocol Protections for Brokers Herskovits, PLLC
2018-07-11: Updated: 2018-07-11 18:43:34 Massachusetts Watchdog Targets Broker-Dealers’ Inadequate Oversight of Private Placements Herskovits, PLLC
2018-07-10: Updated: 2018-07-10 18:45:41 FINRA Regulatory Notice Encourages Members to Disclose Participation in Any Cryptocurrency-related Activities Herskovits, PLLC
2018-07-09: Updated: 2018-07-09 18:47:47 WELLS FARGO Will Pay $480 Million to Settle Fraud & Insider Trading Class Action Brought by Shareholders Herskovits, PLLC
2018-06-16: Updated: 2018-06-16 18:53:13 California Attorney Found Guilty in Pump-and-Dump Scheme Case Involving Greenway Technology and Crown Marketing Herskovits, PLLC
2018-06-15: Updated: 2018-06-15 18:58:12 Merrill Lynch FAs Will Experience Pay Cuts Unless They Meet Certain Targets Herskovits, PLLC
2018-06-11: Updated: 2019-11-01 13:26:53 CFTC Tells Judge It Has Jurisdiction Over Cryptocurrencies Herskovits, PLLC
2018-05-22: Updated: 2018-05-22 19:07:37 CFTC Staff Advisory Offers Guidance for Listing Cryptocurrency Derivative Products Herskovits, PLLC
2018-05-14: Updated: 2018-05-14 19:08:56 Anti-Money Laundering and Sanctions Compliance: New Challenges for Financial Institutions Herskovits, PLLC
2018-05-12: Updated: 2018-05-12 19:10:11 Delaney Equity Group Could Face Probation and Steep Fines in “Shell Factory” Case Herskovits, PLLC
2018-05-11: Updated: 2018-05-11 19:11:15 SEC and CFTC Cryptocurrency Regulation Chronology and Outlook for the Rest of 2018 Herskovits, PLLC
2018-05-10: Updated: 2018-05-10 19:12:18 SEC Court Order Follows Jay-Z Refusal to Cooperate Herskovits, PLLC
2018-05-01: Updated: 2018-05-01 19:13:48 “CRAEFUL!” The Do’s & Don’ts of Cryptocurrency and ICO Investing Herskovits, PLLC
2018-04-30: Updated: 2018-04-30 19:16:07 FINRA Imposes $550,000 Fines on Aegis Capital Over Anti-Money Laundering Violations Herskovits, PLLC
2018-04-28: Updated: 2018-04-28 19:17:04 FINRA Fines Wedbush Securities $1.5 Million Over Violations Related to Customer Reserves and Net Capital Requirements Herskovits, PLLC
2018-04-27: Updated: 2018-04-27 19:18:08 New Arrest in SEC Case Against Celebrity-backed ICO Centra Tech Herskovits, PLLC
2018-04-21: Updated: 2018-04-21 19:19:16 SEC Proposes Regulation Best Interest to Protect Investors from Self-Serving Brokers Herskovits, PLLC
2018-04-10: Updated: 2018-04-10 19:20:18 SEC Subpoena? How Cryptocurrency Companies Should Prepare Herskovits, PLLC
2018-04-09: Updated: 2018-04-09 19:57:28 Cryptocurrency and ICO Space Prepare for Increasing SEC Scrutiny Herskovits, PLLC
2018-03-24: Updated: 2018-03-24 20:00:37 Brooklyn Prosecutors Say ICOs are Securities in Alleged Fraud Case Herskovits, PLLC
2018-02-26: Updated: 2018-02-26 20:01:55 SEC’s Lawsuit Against Woodbridge´s Robert Shapiro Over a 1.2 Billion Ponzi Scheme Has Many Ramifications Herskovits, PLLC
2018-02-24: Updated: 2018-02-24 20:02:56 FINRA Fined Citigroup $11.5 Million and J.P. Morgan $2.8 Million Herskovits, PLLC
2018-02-23: Updated: 2019-11-01 13:32:13 FINRA Issues Warning About Cryptocurrency Stock Scams Herskovits, PLLC
2018-02-21: Updated: 2018-02-21 20:05:19 FINRA Proposes New Rules, Releases Budget for the First Time Herskovits, PLLC
2018-02-17: Updated: 2018-02-17 20:07:47 SEC and CFTC Say Cryptocurrency and ICO Trading No Longer Off Their Radars Herskovits, PLLC
2018-02-16: Updated: 2018-02-16 20:09:12 CFTC Targets Multi-Million Dollar Cryptocurrency Fraud with Multiple Suits Herskovits, PLLC
2018-01-11: Updated: 2018-01-11 20:10:16 FINRA Plans to Crack Down on High-Risk Brokers, Are You at Risk? Herskovits, PLLC
2017-12-14: Updated: 2017-12-14 12:32:32 FINRA Rules 2165 & 4512 – Elder Abuse in the Securities Industry Herskovits, PLLC
2017-12-11: Updated: 2017-12-11 12:34:37 Former SEC Chair Warning: Lack of Oversight of Registered Investment Advisors an Impending Disaster Herskovits, PLLC
2017-11-30: Updated: 2019-11-01 13:33:02 Morgan Stanley No Longer Bound by the Protocol for Broker Recruiting Herskovits, PLLC
2017-11-20: Updated: 2017-11-20 12:38:02 SEC Enforcement Actions and Fines Plummet Under Trump Herskovits, PLLC
2017-11-13: Updated: 2017-11-13 12:39:08 Sandlapper Securities and CEO Trevor Gordon Named in FINRA Exorbitant Fees Complaint re: Saltwater Well Investments Herskovits, PLLC
2017-11-10: Updated: 2019-11-01 13:54:27 Former UBS Broker Wins $3 Million in Defamation Case Herskovits, PLLC
2017-11-09: Updated: 2017-11-09 12:41:02 SEC Enforcement Executive Vows to Protect Retail Investors and Address Cyber Related Misconduct Herskovits, PLLC
2017-10-31: Updated: 2017-10-31 12:42:04 Have FINRA’s “Poor Investments” Affected its Members? Herskovits, PLLC
2017-10-30: Updated: 2017-10-30 12:42:53 FINRA’s Competency Exam Updates Lower Barriers for Industry Newcomers Herskovits, PLLC
2017-10-27: Updated: 2017-10-27 12:44:13 NASAA Releases Annual Enforcement Report – Registered Members Top Enforcement Actions Herskovits, PLLC
2017-10-18: Updated: 2017-10-18 12:46:02 SEC Accuses Two NYC Brokers of Defrauding Customers Herskovits, PLLC
2017-10-10: Updated: 2017-10-10 12:47:20 FINRA VOWS TO LIMIT EXPUNGEMENTS – Rules and Realities Herskovits, PLLC
2017-10-07: Updated: 2017-10-07 12:49:01 FINRA Censures and Fines New York Firm $750,000 Over Its Role In Death Put Scheme Herskovits, PLLC
2017-09-20: Updated: 2017-09-20 12:49:55 Dishonest Trader Must Disclose Commodity Law Violations in Public Communications Herskovits, PLLC
2017-09-18: Updated: 2017-09-18 12:50:51 FINRA CEO Cook Grilled by Congress on FINRA’s Financial Conduct Herskovits, PLLC
2017-09-15: Updated: 2017-09-15 12:51:46 Evolution of Publicly Traded Stock Ownership in the US 1990s-2016 Herskovits, PLLC
2017-09-06: Updated: 2017-09-06 12:53:28 Ironbridge Global Partners and a Subsidiary to Pay $4.4 Million Settlement over Microcap Finance Practices Herskovits, PLLC
2017-08-30: Updated: 2017-08-30 12:54:26 FINRA Fine Stats 2016 vs. 2017 and Enforcement Trends Herskovits, PLLC
2017-08-29: Updated: 2017-08-29 12:55:46 FINRA Vows to Protect Investors from High-Risk Brokers Herskovits, PLLC
2017-08-24: Updated: 2017-08-24 12:56:47 SEC Seeks Injunction in Case Against Avalon FA Ltd. Over Illegal Market Manipulation Known as Layering Herskovits, PLLC
2017-08-22: Updated: 2019-11-01 13:54:22 Raiding Cases in the Securities Industry – Navigating Claims, Damages & the Rest Herskovits, PLLC
2017-08-16: Updated: 2017-08-16 12:59:06 $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: 2019-11-01 13:47:20 FINRA Disciplinary Proceedings – Inside FINRA’s Complaint and Hearing Process Herskovits, PLLC
2017-08-03: Updated: 2017-08-03 13:03:46 Keeping the Record Straight – FINRA Cracks Down on Firms for Failing to Protect Records Herskovits, PLLC
2017-07-31: Updated: 2019-11-01 13:49:27 FINRA Chief Counsel on Emerging Regulatory Issues and Enforcement Priorities Herskovits, PLLC
2017-07-24: Updated: 2017-07-24 13:05:44 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: 2017-07-21 13:06:43 SEC Focuses on BSA AML Enforcement, Utah’s Alpine Securities Charged with Systematic Violations Herskovits, PLLC
2017-07-10: Updated: 2017-07-10 13:07:35 FINRA Investigation Defenses, Process & Rule 8210 Realities Herskovits, PLLC
2017-06-27: Updated: 2017-06-27 13:56:45 LPL’s Bonds Learns 3240 No Borrowing From Customers Lesson Herskovits, PLLC
2017-06-02: Updated: 2017-06-02 13:58:59 Barclays Reaches $97 Million Settlement with SEC Herskovits, PLLC
2017-05-22: Updated: 2017-05-22 14:06:45 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: 2017-05-20 13:59:54 FINRA Settles Complaint Over Undisclosed Tax Liens Over $1 MIllion Herskovits, PLLC
2017-05-15: Updated: 2017-05-15 14:01:00 Broker Denied FINRA Expungement after Settlement – Tightening Rules and the Need for Legal Representation Herskovits, PLLC
2017-05-12: Updated: 2017-05-12 14:08:27 AML Regulators Target Capital One’s Check Cashing Businesses Herskovits, PLLC
2017-04-27: Updated: 2017-04-27 14:02:59 SEC Loses in Its Own Court – Charges Dismissed in Radiant Systems Insider Trading Case Herskovits, PLLC
2017-04-18: Updated: 2017-04-18 14:03:51 FINRA Fines TD Bank Unit over Failure to Review Emails Herskovits, PLLC
2017-04-12: Updated: 2017-04-12 14:04:40 Between the Forgotten Investor and CEO Pay Ratio Disclosures – Piwowar’s Vision for the SEC Herskovits, PLLC
2017-04-11: Updated: 2017-04-11 14:05:31 FINRA Implements New Rule and Procedures to Prevent Financial Exploitation of Seniors Herskovits, PLLC
2017-03-13: Updated: 2017-03-13 14:07:35 SunTrust Might Face SEC Enforcement Actions Over Alleged Self-Serving Investment Recommendations Herskovits, PLLC
2017-02-06: Updated: 2017-02-06 14:09:22 Mexico in Crosshairs Of Precedent Setting 2016 FCPA Enforcement Actions Herskovits, PLLC
2017-01-17: Updated: 2019-11-01 13:51:14 FINRA Fines Credit Suisse $16.5M for Anti-Money Laundering Program Failures Herskovits, PLLC
2017-01-09: Updated: 2017-01-09 14:11:17 FINRA Enforcement Focus 2017: 6 Common Broker-Dealer AML Program Deficiencies Herskovits, PLLC
2016-11-30: Updated: 2016-11-30 14:12:18 Merrill Lynch Pays $7 Million Penalty for Inadequate Brokerage Account Supervision Herskovits, PLLC
2016-11-28: Updated: 2016-11-28 14:14:23 FINRA Fines VALIC Financial Advisors $1.75M for Compensation Plan Conflicts of Interest Herskovits, PLLC
2016-11-15: Updated: 2016-11-15 14:15:20 Avoiding Emerging Cybersecurity Whistleblower Pitfalls Herskovits, PLLC
2016-11-01: Updated: 2016-11-01 14:16:13 SEC Announces Record Enforcement Actions for FY2016 Herskovits, PLLC
2016-10-01: Updated: 2016-10-01 14:17:18 Capital Acquisition Brokers: Is FINRA’s New Broker-Dealer Category a Good Deal? Herskovits, PLLC
2016-08-01: Updated: 2016-08-01 14:18:16 Andrew Ceresney: SEC Enforcement Expands Focus on Private Equity Broker-Dealer Activities Herskovits, PLLC
2016-01-06: Updated: 2019-09-04 10:35:11 FINRA’s Top 5 Enforcement Action Sanctions Of 2015 Herskovits, PLLC
2013-05-08: Updated: 2013-05-08 14:19:53 FINRA Identifies “Red Flags” for AML Compliance Herskovits, PLLC
2013-04-01: Updated: 2019-09-04 11:50:15 4th Circuit Further Defines A “Customer” Under FINRA Arbitration Rules Herskovits, PLLC
2013-02-11: Updated: 2019-10-30 11:50:42 FINRA Hits Lincoln Financial With Failure to Supervise Concerning a Ponzi Scheme Herskovits, PLLC
2013-02-04: Updated: 2019-09-04 11:51:54 Herskovits PLLC Submits Comments to FINRA Proposed Rule on Recruitment Compensation Practices Herskovits, PLLC
2013-01-29: Updated: 2013-01-29 14:24:32 Courts Lining Up in Favor of Broad Definition of Customer Under FINRA Rules Herskovits, PLLC
2013-01-15: Updated: 2013-01-15 14:25:35 FINRA Is Looking for Additional Disclosure on Up Front Loans to Reps Herskovits, PLLC
2012-11-06: Updated: 2012-11-06 14:26:26 Enforcement Report Issued by State Securities Regulators Emphasize RIAs Herskovits, PLLC
2012-11-01: Updated: 2019-11-01 13:52:22 FINRA Exec Lays Out FINRA’s Enforcement Agenda Herskovits, PLLC
2012-10-23: Updated: 2012-10-23 14:29:19 FINRA Provides Guidance for Supervisory Review of Email Herskovits, PLLC
2012-10-16: Updated: 2019-09-04 10:36:32 Fidelity Wins Against Morgan Stanley in a Non-Protocol Solicitation Case Herskovits, PLLC
2012-10-12: Updated: 2012-10-12 14:28:29 FINRA Arbitrators Start Getting Tough With Discovery Abuses Herskovits, PLLC
2012-06-19: Updated: 2012-06-19 14:30:56 FINRA DISCIPLINARY ACTIONS – JUNE 2012 UPDATE Herskovits, PLLC
2012-06-04: Updated: 2019-09-04 10:36:57 Regulators probe bank’s role in Facebook IPO Herskovits, PLLC
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