Reg BI | New York Criminal & Securities Attorney

Edward Scott Short Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Edward Scott Short Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Kevin J. Deloatch, Esq.2023-04-17T11:47:15-05:00April 17th, 2023|Churning, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Edward Scott Short (CRD # 2462752) was recently suspended from the securities [...]

On-Line Trading and Brokerage Firm Liability

Kevin J. Deloatch, Esq.2021-02-10T11:49:25-05:00February 10th, 2021|Conflicts of Interest, Markets and Products, Securities Law|

Does your brokerage firm have liability for on-line trading losses? Recent occurrences in the retail brokerage industry, including “no commission” trading and the introduction of apps [...]

Regulation Best Interest: A Good First Step for Increased Investor Protection

Kevin J. Deloatch, Esq.2020-07-11T13:11:21-05:00July 11th, 2020|Conflicts of Interest, Markets and Products, Securities Law|

On June 30, 2020, the Securities and Exchange Commission (“SEC”) began enforcing Regulation Best Interest (“Reg BI”) and the use of the new Client Relationship Summary [...]