Cosgrove Law Group, LLC

Sending a shout out to The Missouri Bar for another great SOLO and Small Firm Conference!

15 years of legal advocacy and counting!

We have moved!
We look forward to serving our clients from our new location:
7800 Forsyth Boulevard, Suite 610, St. Louis, MO 63105
All othe contact information remains the same.

Happy 4th of July from Cosgrove Law Group, LLC!

https://www.cosgrovelawllc.com/06-08-23-cosgrove-law-group-llc-settles-investor-claim-for-over-1000000.html
COSGROVE LAW GROUP, LLC SETTLES INVESTOR CLAIM FOR OVER $1,000,000

Even our dogs take work seriously!

Notre Dame Football currently has the toughest schedule in the country! 😧

One of the most photographed spots in the state, Sleepy Hollow Farm, Woodstock, Vermont rarely disappoints. While this is a photo from peak foliage time last year (first week of October there), fall still has definitely already arrived in New England this year, albeit not quite this colorful just yet! 🍂🍁

Photographer: Rohit Gomashe

Cosgrove Law Group, LLC is thrilled to celebrate Brian St. James' 4 year anniversary with our firm. We are immensely grateful to have Brian on our team. We appreciate his work ethic, his willingness to tackle difficult projects, his focus on client relationships, and his friendship. Here's to many more!

https://www.nasaa.org/65557/new-north-american-securities-administrators-association-president-discusses-priorities-for-the-year-announces-board-of-directors/

NASAA New North American Securities Administrators Association President Discusses Priorities for the Year, Announces Board of Directors - NASAA New North American Securities Administrators Association President Discusses Priorities for the Year, Announces Board of Directors -

Today we would like to express our appreciation to our fallen heroes and send heartfelt gratitude on this day of remembrance.

offices will be closed on Memorial Day as we honor our fallen.

Cosgrove Law Group, LLC turns 13 today! We are proud to have developed a diverse law practice that has advocated for clients nationwide. We are grateful for the many clients who put their trust in our team.

For Day 2021, we would like to recognize our entire staff for creating a fantastic team and always putting our clients first!

FINRA CEO outlines upcoming sweep of examinations The Financial Industry Regulatory Authority is planning a series of targeted examinations, focusing on special-purpose acquisition companies, compliance with options account openings and possibly the relationship between financial-services firms and social media influencers, CEO Robert Cook said at....

Please join us in supporting Saint Rock Haiti Foundation https://saintrock.org/

Our virtual fèt - Building Hope Together, it this coming Friday, May 21st at 7:30 pm. Visit our website for details. Thank you to our Hope Sponsors!

John McFarland
Anonymous (3)
Larry and Judy Burak
Elliott Physical Therapy
Sullivan’s Castle Island
William and Kathi Heater
Gerry and Paula McGrath
Jane Driscoll
The Bresnahan Family
Mary and Taber Keally
Prince Lobel Tye LLP
Rev. Peter Casey
Raj and Lori Pathak
Stephen and Mary Wessling
D. Michael Collins Architect
Dan Marr

Industry working toward shorter settlement cycle SIFMA, the Investment Company Institute and the Depository Trust & Clearing Corporation are working in partnership to develop a roadmap for shortening the settlement cycle from T+2 to T+1, with results of their preliminary analysis due for release around the end of Q3. In a , SIFMA President and CEO...

SWT Design does amazing and quality work! Come enjoy this new space in Shrewsbury!

Mark your calendar! The Hon. Richard B. Teitelman Memorial online seminar will be held on June 22, 2021. Every dollar earned is donated directly to Legal Services of Eastern Missouri!

Cosgrove Law Group, LLC assists brokers and investment advisers with transitions at all stages. Call us today if you are considering a transition in the securities industry or if you have recently transitioned and have questions or concerns. (314) 563-2490
(The choice of a lawyer is an important decision and should not be made based solely on advertisements.)

Finra Sidelines Two Brokers who Took Client Info to New Firms - AdvisorHub The regulator fined and suspended a Lincoln Financial Advisors broker and a former International Assets Advisory broker who started his own registered investment advisory firm for alleged violations of client privacy rules.

SEC's 'Boilerplate' Deal With Ex-State Street Exec Irks Judge - Law360 A Massachusetts federal judge said Thursday he wouldn't "rubber stamp" a judgment negotiated in a civil case between the U.S. Securities and Exchange Commission and a convicted former State Street Corp. executive that covers far more conduct than what he was found guilty of in his criminal case.

Lawyer Can't Turn Off Kitten Zoom Filter During Court Appearance, Tells Judge He is Not a Cat Working from home creates a unique set of problems that many people have been dealing with for the last year or so. Among those is how to do everything remotely

Broker/Dealer Compliance Officers Face Surging Personal Liability Risks The pandemic has accelerated the spread of remote work so much that many firms have adopted digital communication and collaboration platforms without building out the necessary policies and procedures to prevent mistakes.

CFP Board Reviews Sanction Guidelines The 15-member Commission on Sanctions and Fitness will also look to revise the standards for those who are hoping for CFP certification.

SEC Enforcement Expansion May Face Constitutional Limits - Law360 Although the recently passed National Defense Authorization Act seems to restore the U.S. Securities and Exchange Commission’s authority to seek disgorgement in enforcement cases — which the U.S. Supreme Court previously narrowed in its Kokesh and Liu decisions — the law may run afoul of the U...

How SEC Can Address 'Inherent Dilemma' Of Its Mandate - Law360 Tom Selman at Scopus Financial suggests three ways the U.S. Securities and Exchange Commission might reconcile the rights of market participants with the regulator's responsibility to protect investors, on the heels of Commissioner Hester Peirce's recent remarks calling out this "inherent conflict."

A cartoon by Pia Guerra and Ian Boothby.

http://securitiesandinvestmentblog.blogspot.com/2020/06/sec-pays-whistleblower-award-of-50.html