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Guerra & Partners

News

“Remember -- Only YOU Can Prevent Forest Fires”

The immortal words of our old friend Smokey Bear.  The phrase is a good way to convey to registered individuals where the responsibility for that individual’s registration status lies, and the risk of failing to appreciate that fact.

News

Guerra & Partners Client Wins Big In Arbitration

Guerra & Partners client Dale Cebert recently prevailed in a significant FINRA arbitration proceeding against Morgan Stanley.  Morgan Stanley recruited Mr. Cebert away from his independent broker/dealer in 2012, offering upfront and back-end bonuses in the form of forgivable loans totaling over $18 million.  The onboarding process was very difficult, resulting in two of Mr. Cebert’s partners leaving Morgan Stanley and returning to their prior broker/dealer, taking client assets with them.

News

Guerra & Partners Selected As Finalist For Small Business Of The Year

Guerra & Partners is pleased to announce it has been selected by the Greater Tampa Chamber of Commerce as a finalist for 2016 Small Business of the Year.  Through a competitive process that included a detailed written application and interviews of each of the semi-finalists, Guerra & Partners emerged as one of five finalists in the category of 21-50 employees.  The SBOY event, in its 36th year, culminates with the awards ceremony on September 16, 2016 at the David A. Straz, Jr. Center for the Performing Arts.  The awards highlight the impact of small business on the community and celebrate the achievements of the best small businesses in Tampa Bay.

Events

Guerra & Partners Sponsors Sporting Clays Tournament With Greater Tampa Chamber Of Commerce

Guerra & Partners is proud to be a sponsor of the Greater Tampa Chamber of Commerce’s 9th annual Sporting Clays Tournament to be held on December 4, 2015, at Tampa Bay Sporting Clays in Land O’Lakes, Florida. The tournament will feature teams of four competing across ten different shooting stations followed by lunch, awards, and raffle prizes. The prizes include four tickets to a Tampa Bay Lightning game in Guerra & Partners’ luxury suite at Amalie Arena, multiple hotel stays, gift cards and baskets of all kinds, and even airline tickets to Panama. There is still time to sign up a team of four. Proceeds from the tournament and raffle (tax deductible to participants) will benefit the Chamber’s foundation, which supports its leadership and educational programs.

News

In Apparent Response To Recent Challenges SEC Proposes Amendments To Rules Governing Administrative Proceedings

On September 24, 2015, the Securities and Exchange Commission announced that it had voted to propose amendments to the rules governing administrative proceedings.  The announcement comes in the wake of rising opposition by the targets of such proceedings and increased criticism from industry participants who argue that the current system is fundamentally unfair.  As evidence, critics have cited the SEC’s increased use of such proceedings since the Dodd-Frank Act and its near 100% “win” rate in such cases.  SEC Chair Mary Jo White said that the proposed amendments “seek to modernize the rules of practice . . . .”  While the proposal would amend a number of the SEC’s rules of practice, there are two significant changes that would theoretically level the playing field for respondents to some degree.

Publications

Call to Prosecute Corporate Executives Coincides with Changes to White Collar Sentencing Guidelines

Last month, Deputy Attorney General Sally Q. Yates issued a memorandum entitled “Individual Accountability for Corporate Wrongdoing” (Yates Memo).  The Yates Memo directs federal prosecutors across the nation to “hold to account the individuals responsible for illegal corporate conduct.”  The memo details six steps that the DOJ will undertake in this renewed mission to prosecute individual corporate executives.  The guidance includes the mandate that corporations must give the government “all relevant facts” pertaining to the individuals that were involved in the alleged corporate misconduct in order for the corporation to be eligible for “any cooperation credit.”

Events

Guerra & Partners Brings Home The Gold for Children's Dream Fund

Guerra & Partners sponsored Bowling for Dreams for the fourth year in a row and again fielded two formidable bowling teams.  The annual bowling tournament benefits the Children’s Dream Fund and is hosted by the First Team.  Guerra & Partners associate Robert Jamieson is a member of the First Team.  A great time was had by all who attended the event, but nobody had as good a night as members of the team who beat out more than 30 other teams to take home the gold for the second time in three years. However, the real winners are the deserving children who benefit from the services provided by the Children’s Dream Fund and the funds raised through Bowling for Dreams.

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