In a rare win, brokerage firm Edward Jones was recently ordered by an arbitration panel to pay former representative Marc Miller $100,000 in damages for defamation.Miller, who left Jones in late 2008 for Morgan Keegan […]
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In December 2010, FINRA consolidated NASD Rule 3030 and NYSE Rule 346 under the new FINRA Rule 3270, effecting significant revisions to the supervisory requirements of Outside Business Activities which includes broker-dealers’ review of all […]
Tampa, FL (February 7, 2010) – The law firm of Guerra King announced today that three of its members, Burton W. Wiand, Michael S. Lamont and Maya M. Lockwood have been recognized as top […]
Pursuant to Regulation S-P, financial institutions are required to adopt written policies and procedures to safeguard nonpublic personal customer information. FINRA advises its members that procedures must be reasonably designed to: ensure the security and […]
TAMPA, Florida 1/20/2011 — Dionne Fajardo presented a workshop to investment advisers and members of the Tampa Bay Compliance group on January 20, 2011. She discussed compliance with the federal and Florida adviser custody rules […]
SAN JOSE, Costa Rica, Jan. 18, 2011 — El Instituto Costarricense de Electricidad (“ICE”), the electric and telecommunications utility for Costa Rica announced today that the Honorable Pedro Echarte, Circuit Judge, in Miami, Florida, issued […]
Tampa, FL (December 20, 2010) – The law firm of Guerra King announced today that one of its members, Kacy Donlon, has been honored with the George C. Carr Memorial Award by the Tampa […]
Guerra King is pleased to congratulate Peter B. King and Katherine C. Donlon on being recognized by The National Law Journal as Tampa’s Top Attorneys 2011. Both are founding member of the firm and […]
Guerra King is pleased to announce that Burton W. Wiand, George L. Guerra, Peter B. King, and Katherine C. Donlon have been recognized by Tampa’s Best Lawyers: The Definitive Guide to Legal Representation in […]
We have over a century of combined experience in regulatory proceedings, civil and white-collar criminal litigation, and arbitration. Our lawyers have been recognized for excellence by their peers in The Best Lawyers in America, Florida […]