FINRA (Financial Industry Regulatory Authority, Inc), the private corporation that acts a self-regulatory organization to regulate, enforce and arbitrate operations… Read More →
SEC Halts Crypto-Currency Scam
As the crypto-currency bubble continues to grow, the SEC has obtained a court order halting a coin offering that targeted… Read More →
Recover Investment Losses: Customers of Dawn Bennett & Bradley Mascho
Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding Dawn J. Bennett, Bradley Mascho and Western… Read More →
Are simplified FINRA arbitrations worth filing?
Are Claimants getting a fair shake in FINRA’s simplified arbitrations? If you are a customer with a dispute with your… Read More →
Investigation into claims against Scott Allen Sibley and Raymond James
Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding Scott Allen Sibley, Raymond James, and Moors & Cabot, Inc. According to public… Read More →
Investigating potential claims from customers of Demitrios Hallas
Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding Demitrios Hallas. He was registered with PHX Financial, Inc. in 2015,… Read More →
First Financial Equity Corporation Disciplined for Failure to Supervise its brokers
Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding First Financial Equity Corporation. First Financial Equity Corporation is an independent… Read More →
Former Cantor Fitzgerald Trader David Demos Indicted For Securities Fraud
The investment fraud attorneys at Halling & Cayo, S.C. are researching potential claims against stockbroker David Demos and his former… Read More →
New York Times Highlights Stockbroker Misconduct
In a series of recent articles, the New York Times has focused on stockbroker misconduct. The newspaper has specifically highlighted… Read More →
Top 10 signs you may have a claim against your broker
For the average investor, it is difficult to know when losses in your account might be recoverable. Here are the… Read More →
Recover Sheaff Brock Investment Losses
The Securities Lawyers at Halling & Cayo are investigating investment losses suffered by customers of Sheaff Brock, an investment advisory… Read More →
How does FINRA decide how long a suspension will be?
While FINRA is clear to say that what it provides are guidelines, not hard and fast rules, it does publish… Read More →