Jason Doss is the owner of The Doss Firm, LLC, an Atlanta-based law firm devoted to representing consumers across the country in a variety of areas including investment disputes and consumer class action litigation. Mr. Doss earned his J.D. from Florida State University in 2002 and his B.A. from the University of Florida in 1997.

SEC Requests Comments and Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisors

On March 2, 2013, the SEC published its request for data and other information to assist them in considering whether to make new rules about the standards of conduct and regulatory obligations for broker-dealers and investment advisors when they provide personalized investment advice about securities to retail customers. This is effectively the SEC seeking comment…

Regulators Seek LIBOR Pacts

On February 6, 2013, we posted a blog entitled RBS Paying $612 Million to Resolve LIBOR Case, which detailed RBS’s agreement to settle with federal regulators for the companies role in the LIBOR rate-fixing scandal. These same federal prosecutors and regulators are now aiming to reach settlements with at-least three more major financial institutions by…

Massachusetts Secretary Asks Schwab to Reconsider Forced FINRA Arbitrations

We posted a blog entitled FINRA’s Ruling in Charles Schwab Case “Kills” Customer Class Actions, which detailed FINRA hearing panel’s decision to uphold Charles Schwab & Co. Inc.’s use of securities arbitration agreements that force customers to bring all disputes into FINRA arbitration forums, and effectively precluding customers from pursuing class claims. On February 26,…

FINRA Appeals Loss in Schwab Class Action Waiver Dismissal

On February 22, 2013 we posted a blog entitled FINRA’s Ruling in Charles Schwab Case “Kills” Customer Class Actions, which detailed FINRA hearing panel’s decision to uphold Charles Schwab & Co. Inc.’s use of arbitration agreements that force customers to bring all disputes into FINRA arbitration forums, and effectively precluding customers from pursuing class claims.…

Former Life-Settlement Executives Sentenced to 10-Years in Prison for Ponzi Scheme

Howard G. Judah and Gergory F. Jablonski, former executives at National Life Settlements LLC, were each sentenced to 10 years in prison for their parts in a $30 million investment scheme that utilized insurance agents to sell products. In 2009, the Texas Securities Board uncovered their securities fraud and selling of unregistered securities. They have…