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SEC Adopts New Broker-Dealer Standard of Conduct

The SEC recently adopted Regulation Best Interest which establishes a “best interest” standard of conduct for broker-dealers and financial advisors when recommending any securities transaction or investment strategy to a retail customer. Read More
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Categories: News & Updates

Lorenzo v. SEC - Securities Fraud Liability Update

In the matter of Lorenzo v. SEC, the U.S. Supreme Court held that liability under Rule 10b-5(a) and (c) of the Securities Exchange Act of 1934 may be imposed even where the defendants are not the actual “maker” of the alleged misleading statement… Read More
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Categories: News & Updates

GPB Capital Holdings - Investor Alert

GPB Capital Holdings, with 1.8 billion in investor funds, has stopped raising investor money while it seeks to straighten out issues related to the accounting and financial statements of two of its biggest funds. Read More
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Recruiting Bonuses Increased to Entice Brokers

While some of the largest brokerage firms have recently curtailed their recruiting efforts including the use of large bonuses to lure financial advisors to their firms, certain firms have taken an opposite approach. Read More
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Categories: News & Updates

FINRA Releases 2019 Exam Priorities Letter

FINRA recently released its 2019 FINRA Risk Monitoring and Examination Priorities Letter which describes areas that brokerage firms should consider as they identify opportunities to improve their compliance, supervisory and risk management programs. Read More
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Categories: News & Updates

Tips For Choosing a Securities Attorney

Before an investor initiates arbitration, the investor must decide whether he or she will retain an attorney to assist with the matter. As most investors only have one opportunity to pursue a claim, the decision to retain an attorney is a critical. Read More
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Categories: News & Updates

FINRA Issues Investor Tips for 2019

            FINRA recently issued an Investor Alert containing essential tips to assist individuals to invest with confidence and care in the coming year. Do not wait to begin to invest for retirement. By waiting, investors often miss out… Read More
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Categories: News & Updates

Global Stock Indexes End 2018 With Losses

2018 was not a positive year for stock markets around the globe.  Stocks began the year trending upward, but then suffered a tough stretch of selling in the final months of the year as investors’ viewpoint of the global economy turned gloomy.  Th… Read More
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Categories: News & Updates

Major Indexes Off To Worst December Start Since 1980

The list of bear market stocks and sectors continues to grow every day showing how broad the continued market selloff has been.  As a result, the Dow Jones Industrial Average, the S&P 500, and the Nasdaq Composite are off to their worst start to… Read More
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Categories: News & Updates

American Finance Trust, Inc. (Symbol: AFIN)

American Finance Trust, Inc. (“AFIN”) is a publicly traded real estate investment trust focused on acquiring and managing a diversified portfolio of primarily service-oriented and traditional retail and distribution related commercial real estate… Read More
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