On behalf of Girard Bengali, APC on June 3, 2019
On behalf of Girard Bengali, APC on Monday, June 3, 2019. As Wall Street's standards continue to change and evolve, many financial advisers in Los Angeles and around the country are being terminated for relatively minor infractions. Once they receive a Form U5, they must come up with a long-term plan for getting back on their feet....
On behalf of Girard Bengali, APC on May 29, 2019
On behalf of Girard Bengali, APC posted in employment law counseling on Friday, May 10, 2019. It has become almost customary for California companies to offer executives and other professionals in the Los Angeles area what is referred to as a severance agreement when they decide to let these types of employees go. Severance agreements...
Tags: Employment Law Counseling, Securities Arbitration And Litigation
On behalf of Girard Bengali, APC on May 29, 2019
On behalf of Girard Bengali, APC on Monday, May 13, 2019. Most brokerage firms and brokers in California and throughout the country take steps to ensure compliance with applicable regulations. However, some do not make an effort to comply with the financial laws and regulations. To help combat this problem, FINRA has proposed a rule...
On behalf of Girard Bengali, APC on May 28, 2019
On behalf of Girard Bengali, APC on Monday, May 20, 2019. Soccer fans in California and throughout the country generally acknowledge that the women's national team has had more success than the men's team. However, the women's team has filed a gender discrimination claim against the U.S. Soccer Federation (USSF). The lawsuit claims that the...
On behalf of Girard Bengali, APC on May 28, 2019
On behalf of Girard Bengali, APC on Tuesday, May 28, 2019. Brokers and financial firms in California and nationwide may be interested in a report that the Financial Industry Regulatory Authority could crack down on over 60 firms after proposing a new rule. The authority oversees over 3,700 broker-dealers engaged in securities transactions. While a FINRA executive...
On behalf of Girard Bengali, APC on May 24, 2019
On behalf of Girard Bengali, APC posted in securities arbitration and litigation on Friday, May 24, 2019. Previous posts on this California blog have talked about the role the United States Securities and Exchange Commission, or SEC, plays in the regulation of those who trade in stocks, bonds and the like. However, there is another agency, legally independent from...
Tags: Securities Arbitration And Litigation
On behalf of Girard Bengali, APC on May 20, 2019
On behalf of Girard Bengali, APC on Monday, May 20, 2019. Soccer fans in California and throughout the country generally acknowledge that the women's national team has had more success than the men's team. However, the women's team has filed a gender discrimination claim against the U.S. Soccer Federation (USSF). The lawsuit claims that the USSF has...
On behalf of Girard Bengali, APC on May 13, 2019
On behalf of Girard Bengali, APC on Monday, May 13, 2019. Most brokerage firms and brokers in California and throughout the country take steps to ensure compliance with applicable regulations. However, some do not make an effort to comply with the financial laws and regulations. To help combat this problem, FINRA has proposed a rule that require...
On behalf of Girard Bengali, APC on May 10, 2019
On behalf of Girard Bengali, APC posted in employment law counseling on Friday, May 10, 2019. It has become almost customary for California companies to offer executives and other professionals in the Los Angeles area what is referred to as a severance agreement when they decide to let these types of employees go. Severance agreements are possible even when...
Tags: Employment Law Counseling
On behalf of Girard Bengali, APC on May 6, 2019
On behalf of Girard Bengali, APC on Monday, May 6, 2019. Finding a broker you can trust is not always easy. Even a financial advisor who comes highly recommended by a friend may not be a good fit for you. You want someone who will be straight with you and guide you in making decisions that will help you...
