Securities Class Action & Arbitration Law http://securitiesattorneys.us Mon, 02 Jun 2014 14:47:52 +0000 en-US hourly 1 http://wordpress.org/?v=3.9.2 Special Risks with Trading on Marginhttp://securitiesattorneys.us/finra/special-risks-with-trading-on-margin/ http://securitiesattorneys.us/finra/special-risks-with-trading-on-margin/#respond Sun, 09 Jun 2013 12:02:40 +0000 http://securitiesattorneys.us/?p=2228 http://securitiesattorneys.us/finra/special-risks-with-trading-on-margin/feed/ 0 SEC Approves Revision to the Definition of “Public Arbitrator” in FINRA’s Customer Code of Arbitrationhttp://securitiesattorneys.us/brokers/sec-approves-revision-to-the-definition-of-public-arbitrator-in-finras-customer-code-of-arbitration/ http://securitiesattorneys.us/brokers/sec-approves-revision-to-the-definition-of-public-arbitrator-in-finras-customer-code-of-arbitration/#respond Thu, 06 Jun 2013 01:09:01 +0000 http://securitiesattorneys.us/?p=2210 http://securitiesattorneys.us/brokers/sec-approves-revision-to-the-definition-of-public-arbitrator-in-finras-customer-code-of-arbitration/feed/ 0 Banc of America and Wells Fargo Fined in Connection with Sales of Floating-Rate Bank Loan Fundshttp://securitiesattorneys.us/brokers/banc-of-america-and-wells-fargo-fined-in-connection-with-sales-of-floating-rate-bank-loan-funds/ http://securitiesattorneys.us/brokers/banc-of-america-and-wells-fargo-fined-in-connection-with-sales-of-floating-rate-bank-loan-funds/#respond Wed, 05 Jun 2013 01:21:46 +0000 http://securitiesattorneys.us/?p=2208 http://securitiesattorneys.us/brokers/banc-of-america-and-wells-fargo-fined-in-connection-with-sales-of-floating-rate-bank-loan-funds/feed/ 0 Florida Man Charged With Perjury and Obstruction for Providing False Testimony to SEChttp://securitiesattorneys.us/florida/florida-man-charged-with-perjury-and-obstruction-for-providing-false-testimony-to-sec/ http://securitiesattorneys.us/florida/florida-man-charged-with-perjury-and-obstruction-for-providing-false-testimony-to-sec/#respond Wed, 05 Jun 2013 00:59:24 +0000 http://securitiesattorneys.us/?p=2203 http://securitiesattorneys.us/florida/florida-man-charged-with-perjury-and-obstruction-for-providing-false-testimony-to-sec/feed/ 0 Florida Investors Recover Investment Losses on Lehman Preferred Stock Against Royal Bank of Canada (RBC)http://securitiesattorneys.us/brokers/florida-investors-recover-investments-losses-on-lehman-preferred-stock-against-against-royal-bank-of-canada-rbc/ http://securitiesattorneys.us/brokers/florida-investors-recover-investments-losses-on-lehman-preferred-stock-against-against-royal-bank-of-canada-rbc/#respond Fri, 31 May 2013 10:00:31 +0000 http://securitiesattorneys.us/?p=2187 http://securitiesattorneys.us/brokers/florida-investors-recover-investments-losses-on-lehman-preferred-stock-against-against-royal-bank-of-canada-rbc/feed/ 0 SEC and FINRA Probing Dealers Over Continuing Disclosure Compliance in Municipal Bond Saleshttp://securitiesattorneys.us/brokers/sec-and-finra-probing-dealers-over-continuing-disclosure-compliance-in-municipal-bond-sales/ http://securitiesattorneys.us/brokers/sec-and-finra-probing-dealers-over-continuing-disclosure-compliance-in-municipal-bond-sales/#respond Thu, 30 May 2013 13:08:34 +0000 http://securitiesattorneys.us/?p=2178 http://securitiesattorneys.us/brokers/sec-and-finra-probing-dealers-over-continuing-disclosure-compliance-in-municipal-bond-sales/feed/ 0 Florida Regulator Warns Investors Of Potential Fraud Concerning Profitable Sunrise Investmentshttp://securitiesattorneys.us/florida/florida-regulator-warns-investors-of-potential-fraud-concerning-profitable-sunrise-investments/ http://securitiesattorneys.us/florida/florida-regulator-warns-investors-of-potential-fraud-concerning-profitable-sunrise-investments/#respond Thu, 30 May 2013 11:24:57 +0000 http://securitiesattorneys.us/?p=2172 http://securitiesattorneys.us/florida/florida-regulator-warns-investors-of-potential-fraud-concerning-profitable-sunrise-investments/feed/ 0 Total, S.A. (TOT) Settles fo $153 Million With SEC Over Alleged Bribes to Iranian Government Officialhttp://securitiesattorneys.us/foreign-corrupt-practices-act/total-s-a-tot-settles-fo-153-million-with-sec-over-alleged-bribes-to-iranian-government-official/ http://securitiesattorneys.us/foreign-corrupt-practices-act/total-s-a-tot-settles-fo-153-million-with-sec-over-alleged-bribes-to-iranian-government-official/#respond Thu, 30 May 2013 11:15:23 +0000 http://securitiesattorneys.us/?p=2170 http://securitiesattorneys.us/foreign-corrupt-practices-act/total-s-a-tot-settles-fo-153-million-with-sec-over-alleged-bribes-to-iranian-government-official/feed/ 0 SEC Charges City of South Miami with Violations of Securities Laws Concerning Municipal Bondshttp://securitiesattorneys.us/sec/sec-charges-city-of-south-miami-with-violations-of-securities-laws-concerning-municipal-bonds/ http://securitiesattorneys.us/sec/sec-charges-city-of-south-miami-with-violations-of-securities-laws-concerning-municipal-bonds/#respond Wed, 29 May 2013 03:12:00 +0000 http://securitiesattorneys.us/?p=2164 http://securitiesattorneys.us/sec/sec-charges-city-of-south-miami-with-violations-of-securities-laws-concerning-municipal-bonds/feed/ 0 Massachusetts Regulator Reaches $9.5 Million REIT Settlement Against Ameriprise Financial Services, Commonwealth Financial Network, Royal Alliance Associates,Securities America and Lincoln Financial Advisers Corp.http://securitiesattorneys.us/brokers/massachusetts-regulator-imposes-9-5-million-reit-ameriprise-financial-services-commonwealth-financial-network-royal-alliance-associatessecurities-america-and-lincoln-financial-advisers-corp/ http://securitiesattorneys.us/brokers/massachusetts-regulator-imposes-9-5-million-reit-ameriprise-financial-services-commonwealth-financial-network-royal-alliance-associatessecurities-america-and-lincoln-financial-advisers-corp/#respond Thu, 23 May 2013 12:25:50 +0000 http://securitiesattorneys.us/?p=2145 http://securitiesattorneys.us/brokers/massachusetts-regulator-imposes-9-5-million-reit-ameriprise-financial-services-commonwealth-financial-network-royal-alliance-associatessecurities-america-and-lincoln-financial-advisers-corp/feed/ 0