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Articles Posted in brokers

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I’m FINRA Licensed and Under Internal Investigation: What Should I Do?

“My broker dealer wants me to meet with its lawyers.”  This is the start of a FINRA registered representative’s worst nightmare. Your heart is pounding and your head starts to race.  “Why me?” “What do they want to know?”  “What could I have done?”  “Are they going to ask me…

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UBS Puerto Rico Brokers Expected to be Terminated Amid Significant UBS Closed-End Bond Fund Litigation

The Wall Street Journal reported on July 2, 2015 that many investors may suffer losses as a result of the attempts by Puerto Rico Electric Power Authority (PREPA) to restructure its debt with its creditors in order to avoid a default and other Puerto Rico economic woes. While clearly many investors…

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