Have you been damaged as the result of investment fraud? Representation accepted on a contingent fee basis. » View Our New Client Questionnaire «

Arbitration Securities
and Investment Fraud Lawyers

Follow @stockfraudlaw

Guiliano Law Firm Securities Arbitration blog

Game on: Bachus reopens SRO debate, snipes at advisers

Posted: August 6, 2012 @ 1:52 pm - Investment News

In an Op-Ed, Rep. Spencer Bachus managed to reopen the whole SRO debate — and take a swipe at investment advisers.
Read Full Story

Subscribe!
RSS Subscription

Investment Literature

The Whistle Blower's Dillemma: Confronting Fraud at AIG

Financial Serial Killers: Inside the World of Wall Street Money Hustlers, Swindlers, and Con Men

Recent Articles

Ally settlement may be a boon for ResCap bondholders - While bond insurers MBIA Inc and FGIC Corp receive the lion's share of Ally Fin...

KPMG can't arbitrate claims by Madoff feeder fund investors - court - A group of investors who lost $20 million in a fund that funneled money into Ber...

Obama Nominates 2 Senate Aides As SEC Commissioners - President Barack Obama on Thursday nominated two senior Senate aides to serve as...

Ex-LPL adviser charged with stealing $2M from clients - LPL finds itself in the headlines for the third time this week as a former advis...

Starboard Seizes Control At Tessera With Last-Minute Deal - Starboard Value LP took control of Tessera Technologies Inc. through a last-minu...

SEC's 1st Proxy Firm Action Hints At New Compliance Focus - The U.S. Securities and Exchange Commission's first-ever suit against a prox...

SIPC Moves To Wind Down NY Brokerage Accused Of Fraud - The Securities Investor Protection Corp. asked for court permission Thursday to ...

SEC Files $1.7M Insider Trading Suit Against Cushing Broker - The U.S. Securities and Exchange Commission on Thursday launched an insider trad...

Lehman To Reap Up To $2B From Pair Of REIT Stock Offerings - Lehman Brothers Holdings Inc. will unload roughly 50 percent of its stake in res...

Regulator Cites Flaws In Ernst & Young Procedures - The top U.S. accounting watchdog on Thursday said that Ernst & Young LLP did not...

Large retailers sue Visa, MasterCard over card fees - The lawsuit comes ahead of a deadline for the millions of merchants affected by ...

Proxy advisory firm settles SEC charges over data breach - An employee of the prominent proxy advisory firm was accused of sharing nonpubli...

Chevron Investors Seek SEC Probe Over $19B Ecuador Battle - A coalition of Chevron Corp. shareholders asked the U.S. Securities and Exchange...

SEC charges former LPL adviser with $2 mln civil fraud - Blake Richards is accused of promising clients he would put their money into inv...

Ex-Goldman Banker Settles SEC Pay-To-Play Case - A former Goldman Sachs & Co. investment banker has agreed to pay $100,000 to set...

SEC Charges Institutional Shareholder Services in Breach of Clients' Confidential Proxy Voting Information -

FOR IMMEDIATE RELEASE
2013-92

Washington, D.C.,...

Seizure Alert Dog Business Sham - Rather than try and digest this disgusting bit of business, I prefer to present ...

Feds Say Pastor Stole From Peter To Pay Peter In Real Estate Scam - According to a federal Indictment in the Southern District of Texas return...

Ally to pay $2.1 bln to settle ResCap litigation - The deal is Ally's second attempt to reach a deal, which has been complicated by...

Investment firms sue exchanges in dispute on improper fee charges - The lawsuit said the exchanges had discovered last year that a prominent firm ha...

U.S. Justice Dept tells lawmakers no bank is too big to jail - An official insisted that no financial company is "immune from prosecution becau...

China Agritech directors cannot escape investor lawsuit - judge - China Agritech Inc directors lost a bid to escape a lawsuit by shareholders who ...

The SEC's Holistic Approach To Cross-Border Swaps - A potentially significant difference from the U.S. Commodity Futures Trading Com...

SAC lawyers met with prosecutors to argue against charges - sources - A presentation by the hedge fund's attorneys did not impress federal prosecutors...

Goldman banker settles SEC 'pay-to-play' charges - Neil Morrison agreed to pay $100,000 to settle charges for his role in a scheme ...

Will Contests – What Works And What Doesn’t -

Recently we received several calls about will contests – that is what h...

FINRA Attacks New Source Of Securities Fraud -

Securities fraud costs investors billions of dollars annually. Sometimes the ...

Citadel Securities Says CBOE Overcharged Trading Fees - The Chicago Board Options Exchange Inc. and four other exchanges were hit with a...

Dems Back CFTC's Firmer Hand On Int'l Swaps Rules - Six Democratic senators on Wednesday prodded the U.S. Commodity Futures Trading ...

LPL's $7.5M e-mail fine just latest in Finra crackdown - The record fine Finra meted out to LPL for failing to oversee its e-mail system ...

FINRA Securities Arbitration
- Arbitration is Litigation
- The Securities Arbitration Process
- The Arbitrators
- Discovery
- Arbitration Awards

Latest Securities News
- Archive

Claims Against Brokers
- Suitability
- Misrepresentations and Omissions
- Mutual Fund Fraud
- Annuity Fraud
- Failure to Supervise
- Breach of Fiduciary Duty
- Unauthorized Trading
- Securities Of Financial Institutions

Investor Resources
- Check Your Broker
- Check Your Brokerage Firm
- Check Your Investment Advisor
- Investor Resource Links

Securities Arbitration Blog
- Archive
- Categories

Contact Us
- Online Contact Form
- Evaluation Process
- Frequently Asked Questions

About The Firm
- The Lawyers
- The Professional Staff
- The Green Initiative

Our Office Location(s):
230 South Broad Street
Suite 601
Philadelphia, Pennsylvania 19102

Telephone: (215) 413-8223
Telecopier/Fax: (215) 413-8223
Toll Free: (877) SEC-ATTY
Email: contact@securitiesarbitrations.com

Questions? Feedback?Olark live chat software