Category Archives: securities arbitration and litigation

THE INVESTIGATIVE ROLE OF FINRA IN THE FINANCIAL INDUSTRY

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

OVERVIEW OF THE SEC’S ENFORCEMENT ACTIVITIES

On behalf of Girard Bengali, APC posted in securities arbitration and litigation on Friday, April 26, 2019. Many financial professionals in the Los Angeles area, basically all of those who trade in regulated stocks, bonds and other securities, may find themselves under investigation by the United States Securities and Exchange Commission, or SEC. The SEC is responsible for regulating...

Tags: Securities Arbitration And Litigation

WE FIGHT BACK WHEN BROKERAGE FIRMS TAKE ADVANTAGE OF OTHERS

On behalf of Girard Bengali, APC posted in securities arbitration and litigation on Friday, March 29, 2019. Many people in the Los Angeles area have some extra money to invest. For example, Californians often are looking to invest money so that they can further shore up their retirement savings or work on building a legacy for their loved ones....

Tags: Securities Arbitration And Litigation

ROBERT J. GIRARD II TO PRESENT AT PIABA MID-YEAR MEETING

On behalf of Girard Bengali, APC posted in securities arbitration and litigation on Friday, March 15, 2019. A founding partner of Los Angeles, California-based Girard Bengali, APC, Robert J. Girard II has 18 years of experience practicing in the area of complex securities litigation. As a result of his background, he has been asked to deliver a presentation at...

ARE LAWS CURBING ELDER FINANCIAL ABUSE WORKING?

On behalf of Girard Bengali, APC posted in securities arbitration and litigation on Friday, February 15, 2019. California residents may not be aware that the Financial Industry Regulatory Authority Inc. Rule 2156 went into effect in February 2018. As per this rule, broker-dealers can put a hold on an elderly client's disbursements if they believe that their client is being financially...

Tags: Securities Arbitration And Litigation

GIRARD BENGALI, APC ATTORNEY OMAR H. BENGALI NAMED A 2018 SOUTHERN CALIFORNIA RISING STAR

On behalf of Girard Bengali, APC posted in arbitration on Tuesday, June 26, 2018. Girard Bengali, APC is proud to announce the inclusion of partner, Omar H. Bengali, in the list of 2018 Southern California Rising Stars. Mr. Bengali was previously selected for inclusion in the 2016 and 2017 list of Southern California Rising Stars, a designation earned by...

Tags: arbitration, elder abuse, Finra, girard bengali, sexual assault, über

INITIATING A FINRA ARBITRATION FOR INVESTORS (PART 2 IN A SERIES)

On behalf of Girard Bengali, APC posted in arbitration on Monday, October 23, 2017. As we noted in a prior post, almost all securities-related disputes end up in front of a FINRA Dispute Resolution, Inc. ("FINRA") arbitration panel. See Intro to FINRA arbitration for investors As the regulator for the securities industry, FINRA requires broker-dealer firms and their securities professionals to register...

Tags: arbitration, Finra, sexual assault

INTRODUCTION TO FINRA ARBITRATION FOR INVESTORS (PART 1 OF A SERIES)

On behalf of Girard Bengali, APC posted in securities arbitration and litigation on Monday, October 2, 2017. Arbitration is a form of dispute resolution frequently used as an alternative to a traditional lawsuit. Instead of a judge or jury deciding the matter, one or more arbitrators are selected as neutral third parties to decide the dispute. The arbitrators read...

Tags: arbitration, Finra, girard bengali