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713-568-9008

713-568-9008

  • About Us
    • Our People
    • Our Values
  • Device Users
    • 3M Earplugs
    • Philips CPAP
  • Individuals
    • Partnership Litigation
    • Company Formation
    • Oil, Gas, and Investments
    • Fiduciary Disputes
      • Partnerships
    • Personal Injury & Wrongful Death
  • Businesses
    • DOJ INVESTIGATIONS
    • SHAREHOLDER LITIGATION
    • Securities and Investigations
    • EMERGING GROWTH COMPANIES
    • BUYING AND SELLING YOUR BUSINESS/MERGERS & ACQUISITIONS
    • Construction Litigation and Disputes
    • Real Estate Litigation or Arbitration
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    • SERVING AS LAWYER TO OTHER LAWYERS
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The Spencer Law Firm - Business, Securities, Litigation

Former top Merrill Lynch adviser barred from securities industry by FINRA

by Ashley Spencer | Nov 25, 2019 | Uncategorized

A former top Merrill Lynch adviser is suspended from the securities industry for 18 months by the Financial Industry Regulatory Authority. Bruce K. Lee agreed to the suspension and the $15,000 fine issued on October 23, 2019, according to FINRA’s Broker Check....

Broker banned by FINRA for reportedly cheating on exams

by Ashley Spencer | Nov 4, 2019 | FINRA

Brokers-to-be who are looking to break into day trading may want to be a little more inconspicuous if they cheat on tests, or not cheat at all. The Financial Industry Regulatory Authority claims Andrew Yoro cheated on the Series 7 examination by “consulting study...

The responsibilities of the U.S. Securities and Exchange Commission

by Ashley Spencer | Nov 1, 2019 | Investors

Click here to read our post about the history and mission of the SEC. The SEC breaks down its responsibilities into five major categories on its website: “Interpret and enforce federal securities laws;” “Issue new rules and amend existing rules;” “Oversee the...

The history and mission of the U.S. Securities and Exchange

by Ashley Spencer | Nov 1, 2019 | General Legal Information

Say “Wall Street” to anyone and you’ll probably hear the words “money,” “stocks,” “brokers,” and even “greed” as a response. To those who don’t interact with the stock market, investing and purchasing stock can seem like a lawless wild west. Thankfully, the U.S....

Brokers accused of taking advantage of elderly client, barred by FINRA

by Ashley Spencer | Oct 28, 2019 | FINRA

Two brokers accused of taking advantage of a 79-year-old client who doctors believe was suffering from Alzheimer’s disease are to be barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). FINRA says Ami Forte and Charles Lawrence...

FINRA protects investors, brokers in the securities industry – Part 1

by Ashley Spencer | Oct 14, 2019 | Arbitration, FINRA, Mediation

If you invest money in America and work with a broker or a firm, there’s a good chance you may have heard of FINRA.   The Financial Industry Regulatory Authority defines itself as a “not-for-profit organization that – working under the supervision of the SEC –...
  • About Us
    • Our People
    • Our Values
  • Device Users
    • 3M Earplugs
    • Philips CPAP
  • Individuals
    • Partnership Litigation
    • Company Formation
    • Oil, Gas, and Investments
    • Fiduciary Disputes
      • Partnerships
    • Personal Injury & Wrongful Death
  • Businesses
    • DOJ INVESTIGATIONS
    • SHAREHOLDER LITIGATION
    • Securities and Investigations
    • EMERGING GROWTH COMPANIES
    • BUYING AND SELLING YOUR BUSINESS/MERGERS & ACQUISITIONS
    • Construction Litigation and Disputes
    • Real Estate Litigation or Arbitration
    • YOUR BUSINESS COUNSEL
    • SERVING AS LAWYER TO OTHER LAWYERS
    • Company Contracts
    • Employment Issues
    • Intellectual Property
    • Private Fundraising
  • Articles
  • Contact Us

Contact Us

Bonnie E. Spencer

The Spencer Law Firm
Executive Tower West Plaza
4635 Southwest Freeway
Suite 900
Houston, TX 77027

Map and Directions

Phone: 713-568-9008
Toll Free: 888-237-4529
Fax: 713-961-5336

Hours:
8am–5pm

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