The Securities Litigation and Regulatory Enforcement resource Web site provides legal news, trends, and insights into navigating the complexities of the Securities Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Texas State Securities Board, and other state securities regulators. This is a go-to resource for broker dealers (BDs), investment advisers (IAs), general counsels (GCs) and directors and officers (D&Os) throughout Texas and across the nation. Learn more
John Kincade is a member of Winstead’s Business Litigation and Securities Litigation & Enforcement Practice Groups. John represents public companies and their officers and directors in federal and state court securities class actions and law suits. Read More
Toby Galloway is Co-Chair of Winstead’s Securities Litigation & Enforcement Practice Group. He also practices in the areas of white-collar defense, governmental & internal investigations… Read More
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The Financial Industry Regulatory Authority (“FINRA”) recently published its Risk Monitoring and Examination Priorities Letter (the “Letter”) for 2019 and signaled its intent to expand the scope of its prioritiesContinue Reading