Tag Archives: Securities

CA Advisor Guillermo Valladolid Barred from Securities Industry

Investigation involving Guillermo Valladolid According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred Guillermo Valladolid (CRD # 4553357, La Jolla, CA) from the Securities Industry. Without admitting or denying the findings, Valladolid consented to the sanction … Continue reading

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FINRA Issues 2018 Regulatory Guidance on Securities Backed Lines of Credit

On January 8, 2018, the Financial Industry Regulatory Authority (“FINRA”) published its Annual Regulatory and Examination Priorities Letter (“2018 Letter”).  The purpose of this letter is to highlight certain issues of importance to FINRA in the upcoming year, and serves … Continue reading

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State Securities Regulators Step Up on ICO and Cryptocurrency Enforcement

As I have previously noted (most recently here), the SEC recently has stepped up its regulatory efforts to police the burgeoning Initial Coin Offering (ICO) market, as well as cryptocurrencies generally. Now it appears that the federal regulators are not … Continue reading

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QBE Insurance Settles Australian Securities Class Action Lawsuit      

In the third-largest securities class action settlement ever in Australia, QBE Insurance has agreed to settle the securities suit pending in the Federal Court of Australia and filed against the company on behalf of QBE investors related to the sharp … Continue reading

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James Lowther Alleged to Have Recommended Unsuitable Oil & Gas Securities

According to BrokerCheck records financial advisor James Lowther (Lowther), employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), has been subject to two customer complaints.  According to records kept by The Financial Industry Regulatory Authority (FINRA) Lowther has … Continue reading

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