Jury Trial Win For GK’s Broker Dealer Client
GK attorneys, George Guerra and Dominique Heller, successfully defended a claim against a broker-dealer for refusing to execute a trade that had been confirmed in error […]
Posts
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[…]
Robert K. Jamieson Named Shareholder at Guerra King
The law firm of Guerra King is pleased to announce that Robert K. Jamieson, who has been with the firm since its inception, has been named a shareholder of the Firm […]
Ailen Cruz Elected President of the Board of Directors of Local Nonprofit Tampa Crossroads, Inc.
The law firm of Guerra King P.A. is pleased to announce that Ailen Cruz was recently elected President of the Board of Directors of local nonprofit Tampa Crossroads, Inc. […]
Ailen Cruz Selected to 2017-2018 Leadership Institute Class of the Hillsborough County Bar Association
The law firm of Guerra King P.A. is pleased to announce that Ailen Cruz was accepted into the 2017-2018 Leadership Institute Class of the Hillsborough County Bar Association […]
40 Years Of FCPA – The Strange Case That Started It All
Leading up to the 40th anniversary of the Foreign Corrupt Practices Act on Dec. 19, this Expert Analysis series features reflections from attorneys who have played a role in the evolution of FCPA enforcement, defense and compliance […]
Peter B. King Named As One Of Florida’s Legal Elite For 2017
Guerra King P.A. is pleased to announce that Peter B. King has been recognized by his peers as one of Florida Trend Magazine’s Legal Elite for 2017 […]
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[…]