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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-disciplinary-action-summary-11-17-25/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-announces-its-2026-priorities-for-examinations/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-charges-first-trust-portfolios-l-p-with-10-million-fine-for-excessive-gifts-and-misleading-reporting/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-dings-fa-for-benefiting-from-a-customers-estate/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finras-2024-regulatory-oversight/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-division-of-examinations-announces-2024-exam-priorities/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-fines-and-suspends-registered-representative-for-facebook-posts/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-provides-guidance-on-financial-advisor-succession-plans/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/are-retiring-fa-sunset-plans-rife-with-abuse/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-rules-ex-parte-temporary-restraining-order-results-in-statutory-disqualficiation/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-announces-examination-focus-on-new-ria-marketing-rule/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-charges-investment-adviser-for-failing-to-disclose-spac-related-conflicts/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-awc-provides-a-primer-on-activities-viewed-as-aml-red-flags/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-releases-guidance-on-supervision-relating-to-digital-signatures/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-charges-convertible-note-dealer-with-failure-to-register/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-ends-mandatory-arbitration-for-claims-of-sexual-harassment-or-sexual-assault/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-enforcement-seeks-bar-for-failure-to-attend-an-otr-and-gets-denied-by-the-oho/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-hearing-panel-rejects-no-harm-no-foul-defense/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-brings-first-charges-for-violation-of-regulation-best-interest/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/elon-musk-and-mark-cuban-file-amicus-brief-urging-supreme-court-to-take-up-the-sec-gag-rule/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-hits-an-fa-for-running-a-subscription-based-investor-website/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-releases-paper-regarding-expungement-of-customer-complaints/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/state-securities-regulator-moves-to-vacate-a-finra-arbitration-expungment-award/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-rule-3280-what-does-it-mean-to-participate-in-a-private-securities-transaction/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/gag-orders-used-by-finra-under-review-by-scotus/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/herskovits-pllc-investigates-deferred-comp-claims-for-former-morgan-stanley-advisors/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-enforcement-puts-chief-compliance-officers-on-notice/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/will-we-see-a-spike-in-margin-liquidations-due-to-sec-guidance/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/summary-of-finras-examination-and-risk-monitoring-program-findings-for-2021/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/hacking-the-unhackable-and-tracing-the-untraceable/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/form-u4-criminal-history-disclosures/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-hits-an-fa-for-reasonable-basis-suitability-violation-with-non-traditional-etfs/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-arbitration-award-describes-merrill-lynchs-reckless-disregard-for-the-truth-in-a-form-u5-filing/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-denies-odd-ball-whistleblower-claim/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/herskovits-pllc-proves-form-u5-defamation-and-is-awarded-attorneys-fees-for-our-client/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-seeks-to-limit-expungement-requests-with-proposed-rule/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-settlement-casts-doubt-on-protocol-for-broker-recruiting-protections/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-issues-report-on-artificial-intelligence-in-the-securities-industry/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/the-secs-war-on-12b-1-fees/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-crushes-an-analyst-for-disclosing-proprietary-information/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/california-ends-absolute-immunity-for-form-u5-defamation-claims/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-reminds-fas-that-no-good-deeds-go-punished/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-ramps-up-cases-for-undisclosed-outside-business-activities-and-unapproved-private-securities-transactions/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-bars-fa-james-daughtry-for-failing-to-cooperate-with-the-regulator/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/responding-to-a-subpoena-from-the-cftc/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/federal-court-expands-the-definition-of-customer-for-purposes-of-compelling-finra-arbitration/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-charges-an-fa-for-structuring-cash-deposits-and-withdrawals/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/fa-claims-that-finra-obtained-his-settlement-by-fraudulent-inducement/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/virginia-bans-mandatory-arbitration-in-advisory-agreements/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-bars-a-supervisor-for-the-misdeeds-of-another/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/ubs-defames-an-fa-but-still-wins-big/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-attacks-suitability-by-challenging-fas-product-knowledge/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-arbitrators-refuse-to-permit-fas-testimony-but-they-did-hear-from-the-substitute-teacher/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-hits-an-fa-for-failing-to-disclose-beneficial-ownership-of-an-account/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-drops-the-statutory-disqualification-hammer/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/ubs-is-slammed-for-form-u5-defamation-qualified-immunity-prevails/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-accuses-ny-life-of-falsifying-customers-investment-objectives-ouch/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-dings-another-fa-for-a-private-securities-transaction-violation/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/enforceability-of-a-finra-arbitration-subpoena/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/did-you-lose-your-investment-because-of-bad-advice-why-you-need-an-attorney/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/how-can-arbitration-help-your-finra-case/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/what-to-know-about-sec-investigations/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-regulatory-notice-19-10-broker-brokerage-firms-transition-communications/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/chicago-cryptocurrency-trader-pleads-guilty-to-stealing-3-million-in-litecoin-and-bitcoin/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/a-pre-ico-deal-you-cannot-miss-meet-the-secs-brainchild-howeycoins/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/georgia-court-ruling-diminishes-protocol-protections-for-brokers/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/massachusetts-watchdog-targets-broker-dealers-inadequate-oversight-of-private-placements/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-regulatory-notice-encourages-members-to-disclose-participation-in-any-cryptocurrency-related-activities/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/wells-fargo-will-pay-480-million-to-settle-fraud-insider-trading-class-action-brought-by-shareholders/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/california-attorney-found-guilty-in-pump-and-dump-scheme-case-involving-greenway-technology-and-crown-marketing/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/merrill-lynch-fas-will-experience-pay-cuts-unless-they-meet-certain-targets/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/cftc-tells-judge-it-has-jurisdiction-over-cryptocurrencies/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/cftc-staff-advisory-offers-guidance-for-listing-cryptocurrency-derivative-products/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/anti-money-laundering-and-sanctions-compliance-new-challenges-for-financial-institutions/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/delaney-equity-group-could-face-probation-and-steep-fines-in-shell-factory-case/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-and-cftc-cryptocurrency-regulation-chronology-and-outlook-for-the-rest-of-2018/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-court-order-follows-jay-z-refusal-to-cooperate/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/craeful-the-dos-donts-of-cryptocurrency-and-ico-investing/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-imposes-550000-fines-on-aegis-capital-over-anti-money-laundering-violations/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-fines-wedbush-securities-1-5-million-over-violations-related-to-customer-reserves-and-net-capital-requirements/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/new-arrest-in-sec-case-against-celebrity-backed-ico-centra-tech/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-proposes-regulation-best-interest-to-protect-investors-from-self-serving-brokers/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-subpoena-how-cryptocurrency-companies-should-prepare/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/cryptocurrency-and-ico-space-prepare-for-increasing-sec-scrutiny/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-suit-targets-fintech-startup-scam/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/brooklyn-prosecutors-say-ico-are-securities-in-alleged-fraud-case/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/secs-lawsuit-against-woodbridges-robert-shapiro-over-a-1-2-billion-ponzi-scheme-has-many-ramifications/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-fined-citigroup-11-5-million-and-j-p-morgan-2-8-million/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-issues-warning-about-cryptocurrency-stock-scams/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-proposes-new-rules-releases-budget-for-the-first-time/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-and-cftc-say-cryptocurrency-and-ico-trading-no-longer-off-their-radars/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/cftc-targets-multi-million-dollar-cryptocurrency-fraud-with-multiple-suits/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-plans-to-crack-down-on-high-risk-brokers-are-you-at-risk/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-rules-2165-4512-elder-abuse-in-the-securities-industry/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/former-sec-chair-warning-lack-of-oversight-of-registered-investment-advisors-an-impending-disaster/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/morgan-stanley-no-longer-bound-by-the-protocol-for-broker-recruiting/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-enforcement-actions-and-fines-plummet-under-trump/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sandlapper-securities-and-ceo-trevor-gordon-named-in-finra-exorbitant-fees-complaint-re-saltwater-well-investments/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/former-ubs-broker-wins-3-million-in-defamation-case/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-enforcement-executive-vows-to-protect-retail-investors-and-address-cyber-related-misconduct/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/have-finras-poor-investments-affected-its-members/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finras-competency-exam-updates-lower-barriers-for-industry-newcomers/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/nasaa-releases-annual-enforcement-report-registered-members-top-enforcement-actions/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-accuses-two-nyc-brokers-of-defrauding-customers/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-vows-to-limit-expungements-rules-and-realities/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-censures-and-fines-new-york-firm-750000-over-its-role-in-death-put-scheme/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/dishonest-trader-must-disclose-commodity-law-violations-in-public-communications/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-ceo-cook-grilled-by-congress-on-finras-financial-conduct/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/evolution-of-publicly-traded-stock-ownership-in-the-us-1990s-2016/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/ironbridge-global-partners-and-a-subsidiary-to-pay-4-4-million-settlement-over-microcap-finance-practices/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-fine-stats-2016-vs-2017-and-enforcement-trends/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-vows-to-protect-investors-from-high-risk-brokers/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-seeks-injunction-in-case-against-avalon-fa-ltd-over-illegal-market-manipulation-known-as-layering/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/raiding-cases-in-the-securities-industry-navigating-claims-damages-the-rest/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/4-8m-in-finra-fines-for-4-firms-on-supervisory-gap-deutsche-bank-12-5m-on-failed-supervision-of-internal-comms/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-disciplinary-proceedings-inside-finras-complaint-and-hearing-process/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/keeping-the-record-straight-finra-cracks-down-on-firms-for-failing-to-protect-records/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-chief-counsel-on-emerging-regulatory-issues-and-enforcement-priorities/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/cal-based-representative-jim-seol-barred-by-finra-failure-to-disclose-100-million-in-eb-5-investments-to-employer/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-focuses-on-bsa-aml-enforcement-utahs-alpine-securities-charged-with-systematic-violations/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-investigation-defenses-process-rule-8210-realities/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/lpls-bonds-learns-3240-no-borrowing-from-customers-lesson/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/barclays-reaches-97-million-settlement-with-sec/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/albany-investment-firm-agrees-to-pay-tribe-3-4-million-over-fraudulent-sale-of-non-traded-reits-and-bdcs/</loc>
            </url>
        

        




         
            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-settles-complaint-over-undisclosed-tax-liens-over-1-million/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/broker-denied-finra-expungement-after-settlement-tightening-rules-and-the-need-for-legal-representation/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/aml-regulators-target-capital-ones-check-cashing-businesses/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finras-revised-sanction-guidelines/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-loses-in-its-own-court-charges-dismissed-in-radiant-systems-insider-trading-case/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-fines-td-bank-unit-over-failure-to-review-emails/</loc>
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            <url>
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                <loc>https://www.herskovitslaw.com/blog/finra-implements-new-rule-and-procedures-to-prevent-financial-exploitation-of-seniors/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/suntrust-might-face-sec-enforcement-actions-over-alleged-self-serving-investment-recommendations/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/mexico-in-crosshairs-of-precedent-setting-2016-fcpa-enforcement-actions/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-fines-credit-suisse-16-5m-for-anti-money-laundering-program-failures/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-enforcement-focus-2017-6-common-broker-dealer-aml-program-deficiencies/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/merrill-lynch-pays-7-million-penalty-for-inadequate-brokerage-account-supervision/</loc>
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            <url>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/avoiding-emerging-cybersecurity-whistleblower-pitfalls/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/sec-announces-record-enforcement-actions-for-fy2016/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/capital-acquisition-brokers-is-finras-new-broker-dealer-category-a-good-deal/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/andrew-ceresney-sec-enforcement-expands-focus-on-private-equity-broker-dealer-activities/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finras-top-5-enforcement-action-sanctions-of-2015/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-identifies-red-flags-for-aml-compliance/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/4th-circuit-further-defines-a-customer-under-finra-arbitration-rules/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-hits-lincoln-financial-with-failure-to-supervise-concerning-a-ponzi-scheme/</loc>
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            <url>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/courts-lining-up-in-favor-of-broad-definition-of-customer-under-finra-rules/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-is-looking-for-additional-disclosure-on-up-front-loans-to-reps/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/enforcement-report-issued-by-state-securities-regulators-emphasize-rias/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-exec-lays-out-finras-enforcement-agenda/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-provides-guidance-for-supervisory-review-of-email/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/fidelity-wins-against-morgan-stanley-in-a-non-protocol-solicitation-case/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-arbitrators-start-getting-tough-with-discovery-abuses/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/finra-disciplinary-actions-june-2012-update/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/are-you-making-suitable-recommendations/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/regulators-probe-banks-role-in-facebook-ipo/</loc>
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            <url>
                <loc>https://www.herskovitslaw.com/blog/ny-top-court-weighs-claim-from-investment/</loc>
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</urlset>