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Brokers, Advisers, LinkedIn and Twitter

By Mark H. Astarita, Esq.

I was a panelist in January for a webinar on Investment Advisers and LinkedIn. We were all set to go, my slides were all prepared and submitted, and the day before the webinar FINRA released Regulatory Notice 10-06 ? Guidance on Blogs and Social Networking Web Sites. The timing of the release caused me to scramble a bit to re-work my presentation for the webinar, but it all worked out. It was a great webinar, as the other three panelists were experts on marketing and business practices for financial advisers, with significant experience using social media for marketing. A replay is available at InvestmentNews.com.As to the release itself, there was nothing very surprising, but the guidance from FINRA was very helpful. The most significant part of the release was the discussion of Twitter, and its use by financial professionals...continue to full post

Full post as published by SECLaw.com on February 02, 2010 (boomark / email).

Lawsuits and Settlements

Stockbrokers and Financial Advisers
alleging careless mistakes or intentional fraud.

John Vermillion and Associates LLC et al.
allegedly misrepresented themselves as qualified financial advisers to sell living trusts and exploit senior citizens.

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