Categories
- Administrative law (3,493)
- Admiralty-Maritime Law (2,514)
- Advertising Law (2,069)
- Antitrust – Competition law (735)
- Aviation Law (959)
- Banking and Finance law (1,951)
- Bankruptcy Law (1,397)
- Business law (2,076)
- Constitutional Law (688)
- Contract Law (44)
- Copyright Law (1,415)
- Corporate Law (1,455)
- Criminal Law (1,149)
- Divorce Law (2,187)
- Elder Law (117)
- Employment and Labour Law (1,216)
- Environmental Law (653)
- Estate Planning (691)
- Family Law (1,070)
- General Legal News (225)
- Health Law (1,261)
- Immigration law (883)
- Injury & Accident Law (1,390)
- Insurance (664)
- Intellectual Property (1,357)
- International Law (569)
- Judiciary (562)
- Law Librarians (1,800)
- Law Professors (1,118)
- Law Students (993)
- Legal Ethics (306)
- Legal Marketing (1,086)
- Legal Theory (707)
- Medical malpractice law (1,204)
- Products Liability (847)
- Real Estate & Property Law (938)
- Securities Law (732)
- Seogpst (2)
- Tax Law (1,059)
- Technology & Cyberlaw (1,526)
- World (729)
- Germany (3)
- Writings and Citations (4)
Category Archives: Securities Law
Yield Enhancement Strategy (YES) Loss Recovery
Several large brokerage houses have been offering their clients option-based trading strategies referred to as a Yield Enhancement Strategy (YES). These firms include UBS Financial Services, Merrill Lynch, Credit Suisse, and Morgan Stanley. According to marketing materials, the YES strategy … Continue reading
Mark Tudor Discharged by Raymond James For Selling Away
Mark Tudor (CRD#: 2842516) is a former registered broker and currently registered investment advisor. He was last employed with Raymond James Financial Services, Inc. (CRD#:6694) of Lake Mary, FL. His previous employers include Raymond James & Associates, Inc. (CRD#:705) and … Continue reading
Cetera Fined $1.4M For Churning Broker
You may have heard the term “churning” in discussions of investments and securities. But you probably won’t know what it means unless you’ve actually experienced it. (Hint: it has nothing to do with butter.) “Churning” is when a broker and/or … Continue reading
