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Whistleblower Program Archives: California Securities Fraud Lawyer Blog
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California Securities Fraud Lawyer Blog. Published by San Mateo, California. Securities Fraud Attorney : Broker Fraud Lawyer :. April 22, 2015. Compliance Officer Receives Million Dollar Whistleblower Award. Today, the Securities and Exchange Commission ("SEC") announced a whistleblower award. Currently, the SEC has paid more than $50 million to 16 whistleblowers who provide the SEC with unique and useful information that leads to a successful enforcement action. Posted by Brett Alcala. January 1, 2015.
californiasecuritiesfraudlawyerblog.com
Leveraged & Inverse ETFs Archives: California Securities Fraud Lawyer Blog
http://www.californiasecuritiesfraudlawyerblog.com/leveraged-inverse-etfs
California Securities Fraud Lawyer Blog. Published by San Mateo, California. Securities Fraud Attorney : Broker Fraud Lawyer :. Leveraged and Inverse ETFs. October 8, 2015. Leveraged and Inverse ETFs: Public Enemy Number One. By now, readers of this blog are hopefully aware that we are very negative on the marketing and sale of leveraged and inverse exchange-traded funds ("ETFs") to average investors. The New York Times. Recently published a news piece. Direxion Daily Brazil Bull 3X ETF (BRZU) -77.04%.
californiasecuritiesfraudlawyerblog.com
BrokerCheck Archives: California Securities Fraud Lawyer Blog
http://www.californiasecuritiesfraudlawyerblog.com/brokercheck
California Securities Fraud Lawyer Blog. Published by San Mateo, California. Securities Fraud Attorney : Broker Fraud Lawyer :. May 1, 2014. March - April 2014 Disciplinary Actions. Michelle Lee Kern (aka Michelle Lee Mertena). Posted by Brett Alcala. January 8, 2013. Is FINRA's BrokerCheck Broken? In my securities law practice. One of the first things I do after speaking with a new client is run a quick background check of the stockbroker using the BrokerCheck tool maintained by the Financial Industry R...
californiasecuritiesfraudlawyerblog.com
LPL Financial Archives: California Securities Fraud Lawyer Blog
http://www.californiasecuritiesfraudlawyerblog.com/stockbrokers/lpl-financial
California Securities Fraud Lawyer Blog. Published by San Mateo, California. Securities Fraud Attorney : Broker Fraud Lawyer :. October 8, 2015. Leveraged and Inverse ETFs: Public Enemy Number One. By now, readers of this blog are hopefully aware that we are very negative on the marketing and sale of leveraged and inverse exchange-traded funds ("ETFs") to average investors. The New York Times. Recently published a news piece. Direxion Daily Nat Gas Rltd Bull 3X ETF (GASL) -84.36%. Direxion president Dani...
californiasecuritiesfraudlawyerblog.com
More Accurate Share Price Reporting to be Required for Non-Traded REITs and DPPs - California Securities Fraud Lawyer Blog
http://www.californiasecuritiesfraudlawyerblog.com/2015/01/more-accurate-share-price-repo.html
California Securities Fraud Lawyer Blog. Published by San Mateo, California. Securities Fraud Attorney : Broker Fraud Lawyer :. More Accurate Share Price Reporting to be Required for Non-Traded REITs and DPPs. January 8, 2015. For many financial consumers, the new rule changes requiring stockbrokers to provide more reliable pricing information for REITs ( real estate investment trusts. Starting in April 2016, rule changes designed to better protect financial consumers will go into effect. Although th...
californiasecuritiesfraudlawyerblog.com
LPL Financial Ordered to Pay $10 Million Fine and $1.7 Million in Restitution to Customers for Supervisory Lapses - California Securities Fraud Lawyer Blog
http://www.californiasecuritiesfraudlawyerblog.com/2015/05/finra-orders-lpl-financial-ord.html
California Securities Fraud Lawyer Blog. Published by San Mateo, California. Securities Fraud Attorney : Broker Fraud Lawyer :. LPL Financial Ordered to Pay $10 Million Fine and $1.7 Million in Restitution to Customers for Supervisory Lapses. May 6, 2015. LPL has 120 days to locate and provide proof of payment to all affected customers. According to the settlement, a total of 327 unidentified customer accounts are entitled to receive payments ranging from $1.02 to $83,034.97 per account. UBS Financial Se...
californiasecuritiesfraudlawyerblog.com
Investors Beware: Non-Listed REITs - California Securities Fraud Lawyer Blog
http://www.californiasecuritiesfraudlawyerblog.com/2013/01/investors-beware-non-listed-re.html
California Securities Fraud Lawyer Blog. Published by San Mateo, California. Securities Fraud Attorney : Broker Fraud Lawyer :. Investors Beware: Non-Listed REITs. January 15, 2013. Our securities law firm. Has seen an influx of complaints involving Non-Listed Real Estate Investment Trusts (REITs) that were marketed and sold to investors looking for a moderate risk fixed-income investment offering an attractive yield. However, like most investments, high risk and high returns are closely related. An inve...
californiasecuritiesfraudlawyerblog.com
Update 1: FINRA Appeals Charles Schwab Class Action Ban - California Securities Fraud Lawyer Blog
http://www.californiasecuritiesfraudlawyerblog.com/2013/02/update-finra-to-appeal-charles.html
California Securities Fraud Lawyer Blog. Published by San Mateo, California. Securities Fraud Attorney : Broker Fraud Lawyer :. Update 1: FINRA Appeals Charles Schwab Class Action Ban. February 27, 2013. This is an update to our February 21, 2013, blog post: Charles Schwab Allowed to Prevent Customer Class Action Lawsuits. A bar on class actions would have the greatest impact on investors with claims that are too small to pursue individually and also the legions of investors who are unaware that any wron...
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