Contact us at (949) 353-6347

    BrokerCheck - FINRA's Dread Permanent Record

    Many a school child has received the awful warning to be careful lest some offense be entered on his or her "permanent record".  As required by statute (15 U.S.C. § 78o-3(i)), the Financial Industry Regulatory Authority, Inc. (aka FINRA) has...

    Broker-Dealers, Nasaa, NASD, Rule 8312, 2017 Cal. App. LEXIS 959, BrokerCheck, Dana Sabraw, finra, Flowers v. FINRA

    Ninth Circuit Accords Chevron Deference To The SEC, What Would Judge Gorsuch Say?

    Last week, I noted that Judge Gorsuch has expressed a certain skepticism of Chevron deference.  The next day, the Ninth Circuit Court of Appeals held that the Securities and Exchange Commission's interpretation of Section 19(d)(2) of the Securities...

    Enforcement & Investigations, Cheveron deference, Consuelo Maria Callahan, finra, Section 19(d), Sharemaster v. SEC

    1