Blogs
Since FINRA implemented FINRA Rule 2111 (aptly named, the “Suitability Rule”) in July 2012, broker-dealers have been scrambling to update their internal systems and educate their brokers to prepare...
When an investor files a complaint against his or her stock broker and/or broker-dealer, the broker-dealer must disclose the allegations made in the complaint on the underlying stock broker’s Central...
I am proud to announce that the Law Office of Patrick R. Mahoney is open for business. After more than three years of practice with a tremendous law firm, I am excited to use the skills I’ve...