Category Archives: blog

Financial regulator proposes new rule

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...

U.S. women’s national team files lawsuit

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...

FEDERAL FRAUD INDICTMENT FOR EX-STATE ASSEMBLYMAN

On behalf of Girard Bengali, APC posted in blog on Wednesday, December 5, 2018. Ex-State Assemblyman Terrence Patrick Goggin served as CEO of Metropolitan Coffee & Concessions (MC2), which ran a chain of Peet's Coffee & Tea shops located in BART stations in the bay area. Now he faces a grand jury indictment for fraud charges, including wire fraud...

THE BASICS OF ELDER FINANCIAL ABUSE

On behalf of Girard Bengali, APC posted in blog on Tuesday, October 23, 2018. Elder financial abuse is a serious problem. When organizations target the elderly they are taking advantage of people who are more susceptible to scams. It's an issue that affects everyone. Whether you are a target yourself, have elderly family members or may be aging into...

SEXUAL HARASSMENT SUIT DROPPED AFTER HEDGE FUND COUNTERSUES

On behalf of Girard Bengali, APC posted in blog on Thursday, August 2, 2018. A former CFO for Snow Park Capital Partners accused the CEO of sexual harassment, but withdrew her suit after the hedge fund countersued alleging she had embezzled money. Kate Merli, former CFO, had accused CEO Jeffrey Pierce of multiple instances of sexual harassment. Hedge fund...

IMPORTANT TIPS FOR RECOGNIZING BROKER MISCONDUCT

On behalf of Girard Bengali, APC posted in blog on Wednesday, June 6, 2018. The value of investments may rise and fall in the market. Not all losses in the stock market or other forms of investment mean that something nefarious is going on. However, stock broker fraud and brokerage firm misconduct can lead to devastating losses for investors....

FINRA CREATES NEW ELDER FINANCIAL ABUSE RULES

On behalf of Girard Bengali, APC posted in blog on Monday, May 21, 2018. Financial exploitation of the elderly is a common - and well-known - problem. The Securities Industry and Financial Markets Association estimates that one out of five individuals over the age of 65 has suffered financial exploitation. Only a small percentage of the cases are ever reported. Some...

ADAM SNYDER JOINS GIRARD BENGALI

On behalf of Girard Bengali, APC posted in blog on Monday, December 5, 2016. Girard Bengali is pleased to announce that Adam Snyder has joined the firm. Mr. Snyder was admitted to the bar in 2016 and is licensed to practice law before all state and federal courts in California. Mr. Snyder's practice includes representing clients in FINRA arbitrations...

Tags: girard bengali

ROBERT GIRARD WINS FORM U-5 EXPUNGEMENT

On behalf of Girard Bengali, APC posted in blog on Monday, December 5, 2016. Robert Girard, principal and founder of Girard Bengali, recently arbitrated a FINRA matter on behalf of client, Michael Phillip. On behalf of Mr. Phillip, Mr. Girard asserted the following causes of action: wrongful termination, violations of the California Labor Code, breach of contract, breach of...

Tags: Finra, girard bengali