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Scarinci Hollenbeck remains committed not only to providing top-tier legal services but also to regularly providing information and resources to our client base and internet following. Client Alerts provided by our attorneys supply businesses, municipalities, and more with the latest and relevant legal updates that may impact them and how they might be able to proceed.

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NY Securities Litigator Angela Turiano to Lecture at the University of Miami School of Law

Scarinci Hollenbeck Partner & Securities Litigator Angela Turiano to be Featured as Guest Lecturer for Investor Law Clinic On Thursday, September 3, 2024, Angela Turiano will be featured as a guest lecturer at the Investor Law Clinic of the University of Miami School of Law. Notably, this is the second year in a row that […]

Author: Scarinci Hollenbeck, LLC

August 27, 2024

FTC Stepping Up Scrutiny of Online Endorsements and Business Reviews - Are You Prepared?

The Federal Trade Commission (FTC) recently updated its Guides Concerning the Use of Endorsements and Testimonials — better known as the “Endorsement Guides.” The Federal Trade Commission (FTC) recently updated its Guides Concerning the Use of Endorsements and Testimonials — better known as the “Endorsement Guides.” The FTC also proposed a new rule that would give the FTC […]

Author: Dan Brecher

July 28, 2023

Why Wouldn’t my FINRA Expungement Go Through?

FINRA Rule 2080 allows FINRA-registered financial professionals (RFPs) or broker-dealer firms to expunge complaints lodged against them from the Central Registration Depository (CRD) system. CRD is a source of information accessible to the public through BrokerCheck. BrokerCheck is a unique and free tool that gives investors information involving regulatory actions, arbitrations and complaints, broker’s employment […]

Author: Christopher D. Warren

January 26, 2023

How Does FINRA Determine the Standards for Expungement of Customer Dispute Information?

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization, a not-for-profit, non-governmental regulator for all broker-dealer firms and brokers that sell securities in the United States. FINRA protects investors by ensuring that broker-dealers and brokerage firms operate fairly and honestly. Brokers and FINRA-registered financial professionals often come to us when looking to settle a […]

Author: Christopher D. Warren

January 11, 2023

How Do You Request Expungement if the Parties Settle the Arbitration?

Requesting Expungement in a FINRA Settlement Arbitration In the highly competitive financial world, any organization, manager, or owner must ensure that your business’s Central Registration Depository (CRD) doesn’t have negative customer complaints. If you are looking for FINRA settlement solutions, keep reading. Public investors often consult CRD through FINRA BrokerCheck before making investment decisions. The […]

Author: Christopher D. Warren

January 6, 2023

What Is a Security? The Answer Matters for Businesses and Investors

Whether you are a business raising capital or an investor buying securities, understanding the definition of a security is important... Every offer and sale of a security is required to be registered with the Securities and Exchange Commission (SEC), unless subject to an exemption from registration under the Securities Act of 1933. So, whether you […]

Author: Kenneth C. Oh

May 10, 2022

Securities

NFT Fraud Is Here – All You Need to Know Before You Invest

The buzz surrounding cryptocurrency, and in particular non-fungible tokens (NFTs), is not just attracting investors… The buzz surrounding cryptocurrency, and in particular non-fungible tokens (NFTs), is not just attracting investors. Scammers are increasingly looking to cash in as well. Accordingly, it is imperative to do your research before making an investment. Understanding the NFT Phenomenon […]

Author: Scarinci Hollenbeck, LLC

January 20, 2022

Will SEC Report on GameStop Stock Frenzy Lead to Regulatory Changes?

The SEC recently published its much-anticipated report on the January 2021 GameStop (GameStop or GME) stock trading frenzy and the larger meme-stock phenomenon... The Securities and Exchange Commission (SEC) recently published its much-anticipated report on the January 2021 GameStop (GameStop or GME) stock trading frenzy and the larger meme-stock phenomenon. The report, entitled Staff Report […]

Author: Scarinci Hollenbeck, LLC

November 11, 2021

Has the Time Arrived For Advisors to Revise Their Arbitration Agreements?

Firms under FINRA oversight should review the predispute arbitration provisions of their customer agreements... Because Financial Industry Regulatory Authority (FINRA) recently issued Regulatory Notice 21-16 highlighting several practices that could lead to disciplinary action, advisors and firms under FINRA oversight should review the predispute arbitration provisions of their customer agreements. Investor Choice Act Would Ban Mandatory […]

Author: Scarinci Hollenbeck, LLC

May 25, 2021

Arbitration

10 Key Takeaways from FINRA’s Exam Results and Priorities for 2021

The Financial Industry Regulatory Authority (FINRA) recently published its “Report on FINRA’s Risk Monitoring and Examination Activities” On February 1, 2021, the Financial Industry Regulatory Authority (FINRA) published its “Report on FINRA’s Risk Monitoring and Examination Activities” (Report) providing insights of its regulatory operations. In its News Release, FINRA stated that the new two-in-one report combines […]

Author: Scarinci Hollenbeck, LLC

March 10, 2021

Top Takeaways from SEC’s Proposed Rule 144 Amendments

The Securities and Exchange Commission (SEC) recently proposed amendments to Rule 144 under the Securities Act of 1933… The Securities and Exchange Commission (SEC) recently proposed amendments to Rule 144 under the Securities Act of 1933 and its related Form 144 filing requirements. The proposal seeks to revise the holding period determination for securities acquired upon […]

Author: Dan Brecher

January 14, 2021

Securities

The SEC is Increasing Scrutiny of the Cannabis Industry

The SEC appears to be stepping up scrutiny of the cannabis industry’s financial reporting and disclosures in connection with the purchase and sale of securities... With cannabis companies already facing a long list of regulatory challenges, it is time to add another SEC fraud complaint to the expanding list. The SEC appears to be stepping […]

Author: Scarinci Hollenbeck, LLC

August 24, 2020

Securities

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