When did you last take a close look at your investment account statements, have a meaningful discussion with your financial advisor or broker, or reassess your investment goals and time horizon due to changing circumstances or major life events? These questions often slip our minds as we navigate our busy lives and process a constant […]
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Becker Serves as Underwriter Counsel for Technology & Telecommunication Acquisition Corp. in IPO
Becker Shareholders Jie Chengying Xiu, Brian Daughney, and Michael Goldstein of the firm’s New York office represented client EF Hutton as the undrwriter counsel in connection with Technology & Telecommunication Acquisition Corporation, in connection with the company’s initial public offering, which closed on January 20, 2022. EF Hutton, division of Benchmark Investments, LLC, served as […]
Read More“FINRA Set To Revise Code of Arbitration Procedure To Preclude Non-Attorneys From Representing Parties in Arbitration Cases” – New York Law Journal
The Financial Industry Regulatory Authority (FINRA), which regulates brokerage firms and their associated persons in the United States, also sponsors the largest forum for securities dispute resolution in the country. A majority of brokerage firms today require their customers to enter into an agreement which, among other things, requires that customers who have a dispute […]
Read MoreBecker Represents GreenVision Acquisition Corp. on $57M NASDAQ SPAC IPO
New York, NY – November 21, 2019 — Becker, a multi-practice commercial law firm with attorneys, lobbyists and other professionals at offices throughout the East Coast, represented client GreenVision Acquisition Corp. (NASDAQ: GRVNU) in its initial public offering of 5,750,000 units at $10.00 per unit, in an underwritten offering through I-Bankers Securities Inc. as a […]
Read MoreBrian Daughney to be Honored as “Citizen of the Year” at 2019 Pineapple Ball
We are pleased to announce that Brian Daughney, Shareholder in Becker’s Corporate Practice, has been selected as a 2019 Pineapple Ball Honoree by the Garden City Chamber of Commerce. Brian will be presented with the prestigious “Citizen of the Year” award at this year’s gala on Friday, April 26, 2019. The award was established in […]
Read MoreEx-officer with Woodbury Brokerage Firm Indicted in Fraudulent Investment Scheme, Feds Say
By Robert E. Kessler and Gary Dymski A Seaford man, formerly the chief compliance officer at a Woodbury brokerage firm, conspired to defraud investors of more than $500,000, federal prosecutors said Thursday. William Michael Quigley, ex-chief compliance officer of Trident Partners, a registered broker-dealer, is charged in a two-count indictment with conspiracy to commit wire […]
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