Gain An Understanding Of FINRA Rule 2330 And The Best Practices On How To Enforce This Rule Properly
It has been a decade since FINRA employed a specific rule with respect to the sale and supervision of variable annuities[…]
GK Compliance And Regulatory Consulting Group Presented The FSI Webinar: Preparing For The Implementation Of The Revised Form ADV
Dionne Fajardo and Trisha Cram presented a webinar to Financial Services Institute members on August 31st titled “Don’t Get Caught Flat-Footed; Preparing for the Implementation of the Revised Form ADV.”[…]
ALERT – Registration Relief for Florida Locations Operating From Alternative Sites Due to Hurricane Irma
The Florida Office of Financial Regulation (“OFR”) provided relief to broker-dealers and investment advisers with locations that are registered or notice filed within the state that are displaced because of damage or power outages due to Hurricane Irma[…]
Findings and Best Practices from the SEC on Creating an Effective Cybersecurity Program
It is no secret that cybersecurity has been a hot topic with regulators. Everyone, including the Securities and Exchange Commission (SEC), FINRA, and state regulators, has been taking a look into cybersecurity and how firms are protecting client data[…]
Dionne C. Fajardo Named Shareholder at Guerra King
The law firm of Guerra King is pleased to announce that Dionne C. Fajardo has been named a shareholder of the Firm[…]
GK Client Wins Big In Arbitration
GK client Dale Cebert recently prevailed in a significant FINRA arbitration proceeding against Morgan Stanley.[…]
GK Attorneys Presented The FSI Webinar: Spotlight On Variable Annuity L Shares
Dionne Fajardo and Robert Jamieson presented a webinar to Financial Services Institute members on September 3rd titled “Spotlight on Variable Annuity L Shares.” […]
GK Attorneys Will Be Presenting The FSI Webinar: Spotlight On Variable Annuity L Shares
On Thursday, September 3, 2015, Dionne Fajardo and Rob Jamieson will be presenting the FSI Webinar: Spotlight on Variable Annuity L Shares. […]
SEC & FINRA Announce Annual Exam Priorities for 2015
Each January, the Financial Industry Regulatory Authority (“FINRA”) and the Securities & Exchange Commission (“SEC”) publish their regulatory and exam priorities for the calendar year.[1] Obviously, they are valuable when preparing for an exam or […]
Kacy Donlon & Dionne Fajardo Present Anti-Money Laundering Webinar to Financial Services Institute
Kacy Donlon, founding member, and Dionne Fajardo, Of Counsel, of the Tampa-based law firm of Guerra King presented a webinar to Financial Services Institute members on January 15th titled A Penny for Your Thoughts: […]