Recent Posts in 2015

• Notice to Clients: Defense of Promissory Note Cases
  Apr 29, 2015
  When moving to a new firm, many brokers receive "upfront money" in the form of a promissory note from their employing firm. Most times these funds are ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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• Notice to Clients: Expungement Guidance - 3 Options for a Clean CRD
  Apr 8, 2015
  Most brokers will encounter customer complaints at one time or another during their career. Many of these complaints cast too wide a net, frequently ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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• Notice to Clients: Mandatory Background Checks & FINRA Rule 3110(e)
  Mar 25, 2015
  Effective July 1, 2015, FINRA Rule 3110(e) will require each member firm to investigate through background checks applicants character and business ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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