Tag Archives: Recommendations

FINRA Suspends Brad Lawing for Unsuitable Investment Recommendations

The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brad Lawing (Lawing).  According to BrokerCheck records, Lawing has been subject to 11 customer complaints. In addition, Lawing has been subject to … Continue reading

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Recent disciplinary findings and penalty recommendations of OATH Administrative Law Judges

Recent disciplinary findings and penalty recommendations of OATH Administrative Law JudgesSource: New York City Office of Administrative Trials and HearingsEmployee's "whistleblower defense" rejected by Administrative Law JudgeOATH Index No. 1883/17 A New York City claims examiner raised a Civil Service … Continue reading

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Coastal Equities Broker Luke Johnson Under Investigation for Unsuitable Non-traded REIT Recommendations

Silver Law Group is investigating Wilmington, Delaware-based Coastal Equities, Inc. (CRD# 23769) broker Luke Johnson (CRD# 461987) for unsuitable recommendations in non-traded REITs, annuities and other illiquid investments. In August 2017, a Coastal Equities customer filed a FINRA arbitration alleging … Continue reading

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IOSCO recommendations to improve regulatory reporting and transparency in corporate bond markets

On 5 April 2018, the International Organisation of Securities Commissions (IOSCO) published a final report containing recommendations for improving the information on secondary corporate bond markets available to both regulators and the public. The final report recommends that regulatory authorities … Continue reading

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European risk board offers recommendations to mitigate investment fund systemic risks

By John Filar Atwood The European Systemic Risk Board (ESRB) issued recommendations to address the systemic risks related to liquidity mismatches and the use of leverage in investment funds. The recommendations, which are addressed to the European Securities and Markets … Continue reading

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