Congress Guts Consumer Privacy Protections

Mar 31, 2017 / News

Do you believe that broadband internet access service (BIAS) providers, such as Comcast, AT&T, Cox, and Verizon, should be allowed to sell or use your browser history, e-mail addresses, and application usage data without asking for your permission? When Congress’s Joint Resolution (S.J. Res. 34) is likely signed into law in a few days, BIAS providers will have the power to use your personal information to generate revenue for the […]

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FINRA Reforms Are Needed To Protect The Investing Public

Mar 28, 2017 / Blog Posts

Most investors in the United States must rely on the FINRA arbitration process to attempt to recover damages caused by investment professionals. Additionally, the investing public must rely primarily on FINRA regulators (along with the SEC) to protect investors from bad actors and bad actions of investment professionals. Unfortunately, many believe FINRA is not up to either job, much less both the regulatory and arbitration side of the investor watchdog […]

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Multi-Million Dollar Claim Relating To Miller Energy And Other Energy Investments Filed Today By Vernon Litigation Group And Attorney Kristian Kraszewski

Mar 22, 2017 / Press Releases

NAPLES, Fla., March 22, 2017 /PRNewswire/ — The Law Firm of Vernon Litigation Group and Attorney Kristian P. Kraszewski have joined forces to file a multi-million FINRA arbitration claim today by a Revocable Trust against both Oppenheimer & Co., Inc. and Cetera Advisors, LLC. One of the Trustees is a 93-year-old veteran fighter pilot from World War II who currently suffers from Parkinson’s Disease as well as other health issues. The trustees […]

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Improper Use of Unwarranted Disclosures in Regulatory Report of Financial Advisors to benefit Broker/Dealer

Mar 17, 2017 / Financial Advisors

In recent years, the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have revamped their efforts in making it easier for investors to access the advisors’ regulatory reports (through the CRD of the IARD systems). To further promote disclosure of wrongdoing by Financial Advisors, FINRA and the SEC have also taken action to encourage Broker/Dealers to disclose any financial advisor wrongdoing. We applaud the efforts of […]

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