Latest Blog Posts By Category

The latest posts for Arbitration Overview are listed below.

Schwab Loses Lawsuit; FINRA Enforcement Action to Proceed
Last week, a federal judge for the Northern District of California tossed a lawsuit filed by Charles Schwab against FINRA in a dispute over new language added to Schwab's customer account ...
FINRA Proposes Rule Change to Raise Simplified Arbitration Cap
FINRA has filed a proposed rule change with the SEC, proposing to amend its Customer and Industry Codes of Arbitration Procedure to raise the limit for simplified arbitration from $25,000 to $50,000. ...
FINRA: Schwab's Waivers Are Against the Rules.
Today, FINRA filed a disciplinary complaint against Charles Schwab & Co. for changes made to its customer account agreements. In October 2011, Schwab amended its agreements to include a Waiver of ...

The latest posts for FINRA News are listed below.

Schwab Loses Lawsuit; FINRA Enforcement Action to Proceed
Last week, a federal judge for the Northern District of California tossed a lawsuit filed by Charles Schwab against FINRA in a dispute over new language added to Schwab's customer account ...
FINRA Proposes Rule Change to Raise Simplified Arbitration Cap
FINRA has filed a proposed rule change with the SEC, proposing to amend its Customer and Industry Codes of Arbitration Procedure to raise the limit for simplified arbitration from $25,000 to $50,000. ...
FINRA Proposes BrokerCheck Expansion
FINRA is seeking comments on whether it should expand the information available on its BrokerCheck system . Since 1988, FINRA's BrokerCheck system has allowed investors to retrieve basic ...

The latest posts for Investigations are listed below.

REIT Private Placement Awards Continue to Roll In. Actual Recovery in Remains in Doubt.
A FINRA arbitration panel recently awarded a group of 40 investors $9.1 million in compensatory damages and attorneys fees arising out of the sale of failed non-traded private placements. The award ...
YieldPlus Fund Fallout Continues
Another settlement has come out of the fracas surrounding the 2007-2008 collapse of the Charles Schwab YieldPlus Fund. Under the terms of the most recent settlement, Randall Merc, a former president ...

The latest posts for Investor Alerts are listed below.

FINRA Issues Investor Alert On the Importance of Understanding Brokerage Statements
FINRA issued an investor alert this week reminding investors to carefully review their brokerage statements and trade confirmations. The alert breaks the statements down by segment, carefully ...
FINRA: Email Hacking Endangers Brokerage Accounts.
Email hacking has become increasingly common in recent years. So much so that most people either have been victims of this or know someone who has. These hackers somehow obtain and use your email ...
REIT Private Placement Awards Continue to Roll In. Actual Recovery in Remains in Doubt.
A FINRA arbitration panel recently awarded a group of 40 investors $9.1 million in compensatory damages and attorneys fees arising out of the sale of failed non-traded private placements. The award ...

The latest posts for Litigation are listed below.

Schwab Loses Lawsuit; FINRA Enforcement Action to Proceed
Last week, a federal judge for the Northern District of California tossed a lawsuit filed by Charles Schwab against FINRA in a dispute over new language added to Schwab's customer account ...
Risk and REITs
Check out John Wasik's article over at Forbes.com on REIT investments. He provides a great list of caveats to consider before investing. The article can be found here . A general overview of this ...
Class Action Clearinghouse: Class Action Filings Increase Slightly In 2011.
The Stanford Securities Class Action Clearinghouse released its year end review this week, reporting that securities filings were slightly up in 2011. According to the report, a total of 188 federal ...

The latest posts for SEC News are listed below.

Schwab Loses Lawsuit; FINRA Enforcement Action to Proceed
Last week, a federal judge for the Northern District of California tossed a lawsuit filed by Charles Schwab against FINRA in a dispute over new language added to Schwab's customer account ...
SEC Activity
Thornburg Mortgage Inc. The SEC filed charges this week against the CEO, CFO and CAO of Thornburg Mortgage for fraudulently reporting the company's income in early 2008. According to the ...
REIT Private Placement Awards Continue to Roll In. Actual Recovery in Remains in Doubt.
A FINRA arbitration panel recently awarded a group of 40 investors $9.1 million in compensatory damages and attorneys fees arising out of the sale of failed non-traded private placements. The award ...

The latest posts for Securities News are listed below.

FINRA Proposes Rule Change to Raise Simplified Arbitration Cap
FINRA has filed a proposed rule change with the SEC, proposing to amend its Customer and Industry Codes of Arbitration Procedure to raise the limit for simplified arbitration from $25,000 to $50,000. ...
SEC Activity
Thornburg Mortgage Inc. The SEC filed charges this week against the CEO, CFO and CAO of Thornburg Mortgage for fraudulently reporting the company's income in early 2008. According to the ...
FINRA Proposes BrokerCheck Expansion
FINRA is seeking comments on whether it should expand the information available on its BrokerCheck system . Since 1988, FINRA's BrokerCheck system has allowed investors to retrieve basic ...

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