In the AWC entitled Charles V. Malico, Respondent, Matter No. 2021069405501 resolved at the end of last year, FINRA settled its first case involving a violation of Regulation Best Interest (Reg BI). The matter resembled a traditional suitability matter where Mr. Malico, without admitting or denying, accepted and consented to findings that he willfully violated

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https://www.eb5investors.com/ Thank you for EB5 Investors Magazine for again recognizing me as a top 5 litigator in the U.S. for 2021. I appreciate the honor.   

In assessing the range of a sanction that FINRA will impose on registered representatives and member firms in FINRA disciplinary actions, the key resource relied upon by enforcement attorneys and disciplinary hearing panelists is the Sanction Guidelines.  Here litigators and adjudicators find the range of sanction for particular violations, and then consider aggravating and mitigating

Following the announcement by the United States Attorney, Southern District of New York on October 1, 2020 that it indicted the principals of the alleged off-shore cryptocurrency derivatives exchange BitMEX, there are many clear take-aways. To address just two, violations of the Bank Secrecy Act implicate criminal violations that can wreck both a company and