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Jason M. Kueser
2,073 followers -
Securities Fraud Attorney and former financial adviser committed to protecting the rights of investors by recovering investment losses
Securities Fraud Attorney and former financial adviser committed to protecting the rights of investors by recovering investment losses

2,073 followers
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"The Securities and Exchange Commission is examining the extent to which dealers using alternative trading systems and broker's brokers are engaged in anti-competitive practices such as blocking or filtering out competitors from being able to bid on their municipal securities"

#SEC Commissioner says "regulators should focus on 'points of failure' such as computerized links between stock exchanges and so-called mini-flash crashes in stocks."

"Former SAC Capital Advisors LP fund manager Mathew Martoma, who was found guilty Feb. 6 in the most lucrative insider-trading scheme ever, is scheduled to be sentenced June 10 and may face as many as 20 years in prison." #securitiesfraud

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US securities regulators are paying attention to financial advisers' social media posts

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#FINRA and the #SEC have taken a "pledge" to focus on alternative investment and complex investment sales.

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#FINRA has proposed a rule that "would require brokers to factor in fees and commissions when listing share prices" of nontraded REITs.  Why has this taken so long?

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A proposed FINRA rule "could give arbitrators more authority in referring cases for disciplinary action."

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Bank of America is encouraging employees to look for opportunities to cross-sell new products and services to existing clients.  Will existing clients' trust be exploited?

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A senior director of #FINRA has recently stated that in some cases involving money laundering,"

the failure to supervise rests with the adviser, not the firm"

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The #SEC is going to be keeping an eye on transfers of client money from/between advisory accounts and brokerage accounts.  This has been a hot button topic as of late as concerns have arisen as to whether such transfers are for the client's benefit (or the adviser's financial benefit).
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