Ryan Patrick Smith's Legal Guides (5)

Tips from The Hitchhiker's Guide to the Galaxy for Responding to a Regulatory Exam

Sep 22, 2025

Your day was going great. Then you learn that the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA) has opened an examination of your firm and seeks a com...

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Prosecuting a Claim Before the Department of Veterans Affairs: The Process At 30,000 Feet

Aug 17, 2010

This guide will provide a brief overview of the process that veterans must complete to obtain compensation benefits from the U.S. Department of Veterans Affairs ("DVA"). The process can have two parts...

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Prosecuting a Claim Before the Department of Veterans Affairs: The Veteran's Burden of Proof

Jul 28, 2010

By law, a veteran is entitled to service-connected disability compensation if she suffers from a disease or injury incurred or aggravated in the line of duty so long as she is not disqualified becau...

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Be Your Own Consumer Protection Agency

Dec 11, 2009

Obtain FINRA's BrokerCheck report on the financial professional BrokerCheck contains valuable information about current and former FINRA-registered brokerage firms and their registered representative...

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How to Know if You Have a Case Against Your Brokerage Firm or Financial Advisor

Sep 10, 2009

There is little question that the events in 2008 continue to have a profound effect on the securities markets. The major market indexes - the Dow Jones Industrial Average, SP 500, NASDAQ, etc. - contin...

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