Florida Investment & Securities Lawyer
Call to Schedule a Consultation
561-417-8777

Category Archives: brokerage firm

Missing Boater Returns: Former Boca Financial Adviser was Listed as Missing Two Weeks Ago

By Gregory Tendrich, P.A. |

By Matt Morgan, Palm Beach Post Staff Writer mmorgan@pbpost.com A boater who went missing about two weeks ago has returned to his home and admitted that he orchestrated his disappearance to escape his legal problems, according to the Palm Beach County Sheriff ’s Office.   Richard Ohrn, 44, went missing off the coast of Boca Raton… Read More »

FINRA Criticized for Being Lenient on Financial Brokers

By Gregory Tendrich, P.A. |

On May 29, 2014, one of five Commissioners of the Securities and Exchange Commission gave a speech to FINRA’s Division of Market Regulation. While the SEC is the final government regulator of the country’s securities industry, FINRA—or the Financial Industry Regulatory Authority—is a key player in U.S. markets. FINRA is not itself a government… Read More »

Retirees Particularly Vulnerable in 401(k) Rollovers

By Gregory Tendrich, P.A. |

America’s population of retirees is larger than ever. According to U.S. News and World Reports, in the decade between 2000 and 2010, the 65-and-over demographic jumped by over 15 percent—significantly greater than the 9.7 percent increase of the total population. Not surprisingly, Florida leads the nation in retirees, with 17.3 percent of its population… Read More »

Florida “Blue Sky” Laws

By Gregory Tendrich, P.A. |

The federal government’s authority over the U.S. securities market is far reaching. The FBI and the Justice Department investigate allegations of fraud. The Securities and Exchange Commission polices industry professionals and wrongdoing investors. Even FINRA’s oversight of brokers and brokerages has its roots in a federal law requiring its existence. Indeed, the federal securities… Read More »

Damages in Form U5 Defamation Cases

By Gregory Tendrich, P.A. |

When a brokerage firm terminates a financial adviser, disclosure rules require the firm to file a Form U.5. This form typically includes, among other disclosures, the nature of the termination and the reasons behind it. And while termination of a broker may simply be the result of layoffs or other neutral reasons, Form U5s… Read More »

Gregory Tendrich, PA
Gregory Tendrich, P.A. serves clients throughout Florida, including the cities of West Palm Beach, Palm Beach, Delray Beach, Boynton Beach, Boca Raton, Port St. Lucie, Lake Worth, Wellington, Riviera Beach, Palm Beach Gardens, Fort Pierce, Vero Beach, Hobe Sound, Jupiter Island, North Palm Beach, Lake Park, Lantana, Stuart, Palm City, Jensen Beach, Tequesta and Juno Beach and represents clients in Palm Beach County, Martin County, St. Lucie County, Indian River County and throughout Florida.

Our Location

3010 N. Military Trail, Suite 210
Boca Raton, FL 33431

Telephone: 561-417-8777
Fax: 561-417-8700

The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation.

No content on this site may be reused in any fashion without written permission from www.YourStockLawyer.com

MileMark Media - Practice Growth Solutions

© 2015 - 2019 Gregory Tendrich, P.A. All rights reserved.
This law firm website is managed by MileMark Media.

Contact Form Tab