Tag Archives: Securities Arbitration And Litigation

Be careful when signing a severance agreement

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

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

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