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SEC Event Could Boost Interest in Pro Bono Law Clinics

The SEC's Investor Advocacy Clinic Summit comes as the number of pro bono law clinics for small clients has shrunk and federal funding dried up.

Fordham universityNew yorkUnited statesNew jerseyLong islandUniversity of miamiElissa germaineChristine lazaroCatherine cortez mastrod nevScott eichhornBen edwardsNicole iannaroneGary genslerResolution services richard berryFordham university schoolJohn university school of law

B/Ds Want NASAA To Kill Reg BI-Related Revisions to Model Rules

Firms including Morgan Stanley, Raymond James and LPL want NASAA to withdraw proposed changes to its b/d conduct model rule.

United statesRaymond jamesJanene marasciulloMark quinnMorgan stanleyVincent de paul legal program at stFinancial markets associationCetera financial groupAmerican securities administrators associationCetera regulatory affairsFinancial services instituteFidelity brokerage servicesJohn university school of lawRegulation best interestCetera regulatory affairs director mark quinnProject group

Haub Law Welcomes Veteran Litigator to Direct Investor Rights Clinic

Janene Marasciullo, an experienced trial attorney and a veteran of FINRA (Financial Industry Regulatory Authority) and the U.S. Department of Justice, will join the Elisabeth Haub School of Law at Pace University as the Director of its Fairbridge Investor Rights Clinic and an adjunct professor. Professor Marasciullo brings over 25 years of public and private […]

United statesJanene marasciulloD brooks smithGeorge washington university law schoolFinancial industry regulatory authorityUs district courtDepartment of justiceAmerican arbitration associationUs department of justiceFranklin marshall collegeGeorge washington journal of international law economicsElisabeth haub schoolPace universityFairbridge investor rights clinicProfessor marasciulloTrial attorney

Advisor files appeal in murder case | Financial Planning

Advisor files appeal in murder case | Financial Planning
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United statesAmos mazzantChristine lazaroJames seeganDamien diggsJames whalenKeith todd ashleyWhalen law officePublic investors advocate bar associationJohn university school of lawFinancial industry regulatory authorityJudge amos mazzantParkland securitiesHobbs actEastern districtToby shook

New FINRA rules to put up high barriers to broker expungement records

The SEC is moving forward with regulations that broker advocates argue could make it nearly impossible to have online complaints purged.

United statesNew yorkRon becknerDoc kennedyAndrew hartnettChristine lazaroEdward jonesWinget spadafora schwartzbergGarry stevensInsurance services in westcliffeAmerican securities administrators associationFinancial industry regulatory authorityJohn universityAmpio pharmaceuticalsWall streetPeaks integrity wealth management