Blog
By Simms Law, P.C.
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February 17, 2026
Simms Law, P.C. helps clients in New York, NY navigate legal processes with experienced representation, clear communication, and strategic guidance every step.
By Simms Law, P.C.
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January 18, 2026
Legal counsel in Fort Lauderdale, FL from Simms Law, P.C. helps you understand your rights and navigate legal processes with professional guidance and support.
By Simms Law, P.C.
•
December 19, 2025
Simms Law, P.C. provides legal representation in Dallas, TX with experienced guidance to help you navigate complex matters and protect your interests.
By Simms Law, P.C.
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June 14, 2022
The Financial Industry Regulatory Authority (FINRA) recently announced a proposal to impose restrictions on firms with significant misconduct histories.
By Simms Law, P.C.
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June 14, 2022
It was recently revealed that the Financial Industry Regulatory Authority, Inc. (FINRA) imposed higher fines on financial advisors and member firms in 2018 than it did in 2017.
By Simms Law, P.C.
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June 14, 2022
The Financial Industry Regulatory Authority (FINRA) recently fined and suspended a broker for allegedly generating $450,000 in commissions from unsuitable mutual fund switches
By Simms Law, P.C.
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June 14, 2022
The Financial Industry Regulatory Authority (FINRA) is a U.S. corporation and self-regulatory organization. FINRA is a consolidation of the enforcement, member regulation, and arbitration operations of NASD, the New York Stock Exchange
By Simms Law, P.C.
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June 14, 2022
The Financial Industry Regulatory Authority (FINRA) recently proposed rule changes that would impose new conditions on financial firms with long histories of misconduct.
By Simms Law, P.C.
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June 14, 2022
Diversification is a process by which a person includes several kinds of financial instruments in his or her investment portfolio in order to make it less vulnerable to changes in the market.
By Simms Law, P.C.
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June 14, 2022
The Financial Industry Regulatory Authority (“FINRA”) recently announced plans to crack down on broker misconduct. In Regulatory Notice 21-09, the self-regulatory organization announced that new rules will address brokers with a significant history of misconduct and their employers
Recent Posts
By Simms Law, P.C.
•
February 17, 2026
Simms Law, P.C. helps clients in New York, NY navigate legal processes with experienced representation, clear communication, and strategic guidance every step.
By Simms Law, P.C.
•
January 18, 2026
Legal counsel in Fort Lauderdale, FL from Simms Law, P.C. helps you understand your rights and navigate legal processes with professional guidance and support.
By Simms Law, P.C.
•
December 19, 2025
Simms Law, P.C. provides legal representation in Dallas, TX with experienced guidance to help you navigate complex matters and protect your interests.
By Simms Law, P.C.
•
June 14, 2022
The Financial Industry Regulatory Authority (FINRA) recently announced a proposal to impose restrictions on firms with significant misconduct histories.
By Simms Law, P.C.
•
June 14, 2022
It was recently revealed that the Financial Industry Regulatory Authority, Inc. (FINRA) imposed higher fines on financial advisors and member firms in 2018 than it did in 2017.
Recent Posts
By Simms Law, P.C.
•
February 17, 2026
Simms Law, P.C. helps clients in New York, NY navigate legal processes with experienced representation, clear communication, and strategic guidance every step.
By Simms Law, P.C.
•
January 18, 2026
Legal counsel in Fort Lauderdale, FL from Simms Law, P.C. helps you understand your rights and navigate legal processes with professional guidance and support.
By Simms Law, P.C.
•
December 19, 2025
Simms Law, P.C. provides legal representation in Dallas, TX with experienced guidance to help you navigate complex matters and protect your interests.
By Simms Law, P.C.
•
June 14, 2022
The Financial Industry Regulatory Authority (FINRA) recently announced a proposal to impose restrictions on firms with significant misconduct histories.
By Simms Law, P.C.
•
June 14, 2022
It was recently revealed that the Financial Industry Regulatory Authority, Inc. (FINRA) imposed higher fines on financial advisors and member firms in 2018 than it did in 2017.
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