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Brokers In Transition

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Showing posts from 2014

BrokerCheck disclosures expanded to "Permanently" include any investment-related settlement with a state or foreign financial regulatory authority.

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Should Broker's exam scores and failures be added to BrokerCheck?

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February 27, 2014

Current and former employees of financial institutions can anonymously file Whistleblower claims and may be entitled to rewards.

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February 13, 2014

FINRA approves new expungement rule.

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February 07, 2014

FINRA to Prohibit Practice of Conditioning Settlements on Investor’s Agreement not to Oppose Expungement

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Attorney Adverstising - informational purposes only, not intended as legal or financial advice

Law Offices of Brent A. Burns, LLC: Brent Burns represents financial advisors and investors. Mr. Burns has extensive experience representing both employers and employees regarding recruiting practices, transitions and litigation, specifically: Protocol for Broker Recruiting and Non Protocol transitions; negotiating or reviewing employment contracts including non-competition/non-solicitation agreements; promissory notes; obtaining temporary restraining orders; expedited FINRA arbitrations; "negotiating" U5 language; and expungements. Mr. Burns has performed internal investigations of several stock loan departments, and has represented those firms and their current and former employees in FINRA Regulatory, FINRA Enforcement Division and SEC investigations. Mr. Burns has also represented traders, brokers and senior managers regarding bonus disputes, severance packages, and forfeiture-for competition clauses for unvested stock.

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  - BrokerCheck disclosures expanded to "Permanently" ...
  - Should Broker's exam scores and failures be added ...
- February 3

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