Make an Appointment with an Attorney

Schedule an appointment

(914) 684-2100

FINRA and BBB Take Action Against Investment Scams

The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation has joined forces with the Better Business Bureau (BBB) to launch a new website, BBB Smart Investing, which is intended to help investors avoid unlicensed brokers and fraudulent investment schemes.
The website, located at www.bbb.org/smartinvesting, combines the consumer outreach of BBB with the extensive knowledge of FINRA.

Read More

FINRA Took Significant Action in 2012

The Financial Industry Regulatory Authority (FINRA), the independent regulator of securities firms, accomplished much in 2012 in the areas of detecting fraud, developing cross-market surveillance and improving transparency in securities markets.  The regulator also assessed $68 million in fines and ordered $34 million in restitution to customers during 2012, a record amount.

Read More