The Spencer Law Firm - Business, Securities, Litigation
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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
    • YOUR BUSINESS COUNSEL
    • SERVING AS LAWYER TO OTHER LAWYERS
    • Company Contracts
    • Employment Issues
    • Intellectual Property
    • Private Fundraising
  • Articles
  • Contact Us
The Spencer Law Firm - Business, Securities, Litigation

SIFMA tests firms to see if they can withstand a cyber attack

by Ashley Spencer | Nov 15, 2019 | Uncategorized

Brokers and firms found out if they were well prepared against a cyber security attack in early November 2019. The Securities and Financial Markets Association (SIFMA) tested hundreds of people in the securities industry on November 7, 2019 with its Quantum Dawn V...

Brokers to be tested by FINRA for Regulation Best Interest “preparedness reviews”

by Ashley Spencer | Nov 12, 2019 | FINRA

Brokers and firms should be familiar with the Regulation Best Interest (RBI) plan, implemented by the U.S. Securities and Exchange Commission (SEC). Firms have until June 30, 2020 to comply with RBI. Here’s a checklist to make sure your firm is compliant. Brokers who...

What brokers need to know about Form CRS Relationship Summary

by Ashley Spencer | Nov 4, 2019 | FINRA

By June 30, 2020, brokers and firms will be required to issue a Form CRS Relationship Summary to customers. The Form CRS by the Financial Industry Regulatory Authority will require brokers and firms to tell clients how they’re monitoring investments, what services are...

FINRA protects investors, brokers in the securities industry – Part 2

by Ashley Spencer | Oct 16, 2019 | Uncategorized

For investors, brokers and firms who are more flexible and looking for a faster solution, FINRA also provides mediation between two disputing parties. Mediation is an informal process where a “trained, impartial mediator facilities negotiations between disputing...
  • 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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