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Niel Prosser
Jim Ritt
Rob Clapper
Kyle Johnson
Brad M. Jacobs
Kim Elander
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Case Results
$6.8 Million Recovery against Morgan Stanley & Frank Venable
$1.48 Million Recovery Against First Allied Securities & Larry Boggs
RESOURCES FOR INVESTORS
INVESTORS
REGISTERED REPRESENTATIVES
COMMERCIAL LITIGATION
Resources
Federal Regulators
Board of Governors of the Federal Reserve System (
http://www.federalreserve.gov/
)
Consumer Financial Protection Bureau (“CFPB”) (
http://www.consumerfinance.gov/
)
Federal Trade Commission (“FTC”) (
www.ftc.gov
)
U.S. Securities and Exchange Commission (“SEC”) (
http://www.sec.gov/
)
Self-Regulatory Organizations
Financial Industry Regulatory Authority (“FINRA”) (
http://www.finra.org/
)
Financial Industry Regulatory Authority (“FINRA”) Member List (
https://www.finra.org/AboutFINRA/MemberFirms/ListOfMembers/P012909
)
Municipal Securities Rulemaking Board (“MSRB”) (
http://www.msrb.org/
)
Public Company Accounting Oversight Board (“PCAOB”) (
http://pcaobus.org/Pages/default.aspx
)
State Regulators
North American Securities Administrators Association (“NASAA”) (
www.nasaa.org
)
Alabama Securities Commission (
http://asc.alabama.gov/
)
Arkansas Securities Department
(
http://www.securities.arkansas.gov/
)
Florida Office of Financial Regulation
(
www.flofr.com
)
Georgia Office of the Secretary of the State Division of Securities
(
http://sos.ga.gov/index.php/?section=securities
)
Kentucky Department of Financial Institutions
(
kfi.ky.gov/
)
Mississippi Office of the Secretary of State Securities Division
(
http://www.sos.ms.gov/Securities/Pages/MS-Securities-Laws.aspx
)
Tennessee Department of Commerce and Insurance Securities Division (
www.tn.gov/commerce/securities-division.html
)
Other Resources
American Association of Individual Investors (“AAII”) (
http://www.aaii.com/?adv=yes
)
Investopedia (
http://www.investopedia.com/
)
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