Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, March 27, 2015

FINRA Sanctions Short Seller – Securities & Going Public Attorneys

Going Public LawyerShort sale conspiracy theorists will be pleased to learn that on March 25, 2015, The Financial Industry Regulatory Authority (FINRA) announced sanctions of $916,000 against First New York Securities L.L.C. for short selling ahead 14 public offerings of securities of which it was participating, in violation of Rule 105 of Regulation M. First New York Securities was also sanction for... Read MoreGoing Public Lawyer

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