FINRA Issues Alert Regarding Investment Recovery Scams

Sept. 26, 2016 | By: Craig Wendland

Recently, the Financial Industry Regulatory Authority, Inc., (FINRA) posted a warning to investors regarding fraudulent advertisements for recovery scams. Read More

Forbes Magazine Recognizes The Frost Firm For Representing Victims of Securities and Financial Fraud

Sept. 28, 2015 | By: Thomas Frost

The Frost Firm has established a national reputation for securities and financial litigation in courtrooms and arbitration forums across the country. Read More

FINRA Accuses Aegis Capital Corp of Selling Unregistered Penny Stocks

Aug. 27, 2015 | By: Thomas Frost

Aegis Capital Corp agreed to pay $950,000 to settle FINRA’s claims that it improperly sold billions of shares of unregistered penny stocks. Read More

Managing Partner Thomas Frost Receives Prestigious Top Attorney Honors

Aug. 27, 2015 | By: The Frost Firm

We are pleased to announce that Thomas Frost, the Managing Partner of the Firm, recently was selected by the San Diego Daily Transcript, San Diego’s leading business publication, as one of “San Diego’s Top Attorneys” in the area of Corporate Litigation for 2015. Read More

Update Regarding Broker Expungement of CRD Records

Aug. 27, 2015 | By: Thomas Frost

Brokers who seek to expunge, or remove, negative disclosure information from their CRD record and, consequently, from public disclosure through FINRA’s BrokerCheck website, may face an increasingly uphill battle. Read More

FINRA Dramatically Increases Fines In 2014, Focuses On Elder Abuse

Feb. 26, 2015 | By: Craig Wendland

The Financial Industry Regulation Authority (“FINRA”) is the regulatory authority which monitors member brokerage firms and exchange markets within the U.S. Read More

Managing Partner Thomas C. Frost Featured In San Diego Attorney Journal

Aug. 6, 2014 | By: The Frost Firm

We are pleased to announce that Managing Partner Thomas C. Frost has been featured on the cover of this month’s San Diego Attorney Journal Magazine. Read More

The Inherent Dangers in Forum Selection Clauses

May 19, 2014 | By: Craig Wendland

Virtually every contract placed in front of you is likely to have a set of “boilerplate” clauses. Often behind an exhausting wall of deal terms and legalese, these provisions are innocuously labeled and easy to overlook by laymen and professionals alike. Read More

FINRA Member Class-Action Waivers Limited

April 28, 2014 | By: Craig Wendland

New FINRA Discovery Rules Effective in 2014

April 15, 2014 | By: The Frost Firm
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