Broker Misconduct Lawyers August 27, 2025 …agencies: Financial Industry Regulatory Authority (FINRA): Oversees brokers and brokerage firms, enforces compliance, and offers an arbitration process for investor disputes. Securities and Exchange Commission (SEC): Enforces federal securities laws,… Read More
Selling Away February 20, 2024 …transactions of private securities. FINRA defines private securities transactions as any securities transaction outside the regular course or scope of an associated person’s employment with a registered broker-dealer firm. If… Read More
Victims of State-Sponsored Terrorism File Intervenor Complaint Against DOJ for Unlawful Withholding of Funds August 8, 2024 …States and have fought for years to seek justice, only to have the DOJ steer funds explicitly earmarked for terror victims into its coffers.” Levin Papantonio (LP) announced the filing… Read More
Levin Law
Levin Law