Burr & Forman

FINRA

09.25.2014 | Mignon Lunsford

FINRA Rule 3110(e)

The Financial Industry Regulatory Authority ("FINRA") recently filed a proposal with the Securities and Exchange Commission ("SEC") to amend FINRA's rule governing member firms' background…

07.2.2014

Reverse Churning

It is obvious that broker-dealers and their registered representatives, as well as investment advisors, must be careful in making recommendations to their clients. But the…

06.13.2014

“Skeletons Leave the Closet” June 23, 2014

On June 23, 2014, BrokerCheck Information makes publicly available information regarding investment-related civil action(s) brought by a state or foreign financial regulatory authority dismissed pursuant…