Herskovits PLLC
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Websites & Blogs
- FINRA RELEASES PAPER REGARDING EXPUNGEMENT OF CUSTOMER COMPLAINTS
11 May 2022 - STATE SECURITIES REGULATOR MOVES TO VACATE A FINRA ARBITRATION EXPUNGMENT AWARD
5 May 2022 - FINRA RULE 3280: WHAT DOES IT MEAN TO “PARTICIPATE” IN A PRIVATE SECURITIES TRANSACTION?
25 April 2022 - GAG ORDERS USED BY FINRA UNDER REVIEW BY SCOTUS
19 April 2022 - HERSKOVITS PLLC INVESTIGATES DEFERRED COMP CLAIMS FOR FORMER MORGAN STANLEY ADVISORS
3 April 2022 - FINRA Enforcement Puts Chief Compliance Officers on Notice
22 March 2022 - Will We See a Spike in Margin Liquidations Due to SEC Guidance?
15 March 2022 - Summary of FINRAs Examination and Risk Monitoring Program Findings for 2022
7 March 2022 - Hacking the Unhackable and Tracing the Untraceable
16 February 2022
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