Tag Archives: Boca Raton Broker and Brokerage Firm Lawyer
Florida “Blue Sky” Laws
The federal government’s authority over the U.S. securities market is far reaching. The FBI and the Justice Department investigate allegations of fraud. The Securities and Exchange Commission polices industry professionals and wrongdoing investors. Even FINRA’s oversight of brokers and brokerages has its roots in a federal law requiring its existence. Indeed, the federal securities… Read More »
Damages in Form U5 Defamation Cases
When a brokerage firm terminates a financial adviser, disclosure rules require the firm to file a Form U.5. This form typically includes, among other disclosures, the nature of the termination and the reasons behind it. And while termination of a broker may simply be the result of layoffs or other neutral reasons, Form U5s… Read More »
