SECURITIES证券法及相关
We represent investors who have suffered losses through broker misconduct, and individuals reporting securities violations to the SEC.我们代理因经纪人不当行为遭受损失的投资者，以及向美国证监会（SEC）举报证券违法行为的个人。
WHAT WE HANDLE服务范围
- FINRA arbitration for investors投资者FINRA仲裁
- SEC whistleblower submissions美国证监会（SEC）举报人程序
- Securities compliance and cross-border transactions证券合规及跨境交易
COMMON QUESTIONS常见问题
My broker made unsuitable trades. What can I do?经纪人进行了不适当的交易，我该怎么办？
Claims against brokers are usually decided in FINRA arbitration. Time limits apply, so gather your account statements and contact us promptly.针对经纪人的索赔通常通过FINRA仲裁解决。索赔有时效限制，请整理账户对账单并尽快与我们联系。
RELATED UPDATES相关动态
Legal Update法律资讯FINRA Replaces Its Outside Activity Rules With Rule 3290, Ends the Pattern Day Trader Test, and Regulation S-P Reaches Small AdvisersFINRA以第3290条取代外部活动规则、取消“频繁日内交易者”标准，S-P条例适用于小型投资顾问The SEC approved new FINRA Rule 3290 on outside activities, which will replace Rules 3270 (outside business activities) and 3280 (private securities transactions) effective October 25,…美国证监会批准了FINRA关于外部活动的新第3290条，将于2027年10月25日起取代第3270条（外部业务活动）及第3280条（私人证券交易）。FINRA第26-20号监管通知…October 30, 20262026年10月30日Firm Update本所动态Pending: Options Trader v. National Broker-Dealer: Order Handling, Trade Reporting and the Integrity of the Broker’s Own Records审理中：期权交易者诉全国性券商：订单处理、交易报告及券商自身记录的完整性The firm represents an individual options trader in a FINRA arbitration against a national broker-dealer and its successor. The trader alleges that options orders in his account were…本所代理一名个人期权交易者，对一家全国性券商及其承继公司提起FINRA仲裁。该交易者主张，其账户中的期权订单在传送、成交及报告方面损害了其利益：显示的成交记录未反映在全市场未平仓合…May 4, 20262026年5月4日Firm Update本所动态In re Leveraged Gold Miners ETFs: The First Investor Class Action Against Direxion Over NUGT and JNUG杠杆黄金矿业ETF案：首宗就NUGT及JNUG起诉Direxion的投资者集体诉讼Direxion Shares ETF Trust sponsors leveraged exchange-traded funds, including NUGT and JNUG, which seek two or three times the daily performance of gold miners indexes. Investors in those…Direxion Shares ETF Trust发行多只杠杆交易所交易基金，包括寻求黄金矿业指数单日表现两倍或三倍回报的NUGT及JNUG。新冠疫情初期，这些基金将杠杆由三倍降至…August 25, 20232023年8月25日
All case notes in this area本领域全部案例 Legal updates in this area本领域法律资讯