A Financial Industry Regulatory Authority (FINRA) investigation under Rule 8210 isn’t something to panic about. Nor is it something to take lightly. Depending on the regulatory agency’s findings, yourself or your firm may face severe penalties. That can include a...
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Month: December 2019
Categories
- Cryptocurrency (1)
- Firm News (40)
- Regulatory Issues (SEC, FINRA) (13)
- Securities Law (12)
Archives
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Recent Posts
- Alexander Shapiro Was Recently Published in the New York Law Journal
- Corporations Must Navigate Risks as Interest in Crypto Intensifies
- Partner Kevin J. O’Brien to Be a Webinar Panelist Discussing the Meng Wanzhou Case on June 24th
- Kevin J. O’Brien to Speak at Lexology Webinar on Meng Wanzhou Case
- Broker-Dealer Ordered to Pay $1.5 Million for Failing to Report Account Hacks
