Tr?id=566623520170033&ev=PageView&noscript=1

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

FINRA Bars Former Morgan Stanley Advisor Facing Millions in Claims from Pro Athletes

February 14th, 2022 at 12:00 PM
A former Morgan Stanley advisor has been barred by the Financial Industry Regulatory Authority (FINRA) after receiving numerous complaints from his former professional athlete clients, including former basketball star Chandler Parsons.
Read More

Former LPL Advisor Charged With Fraud Faces 37-Year Prison Sentence

February 11th, 2022 at 1:24 PM
An ex-LPL Financial advisor has been indicted for allegedly defrauding at least 15 former clients after the Financial Industry Regulatory Authority (FINRA) barred him from the industry.       
Read More

J.P. Morgan Settles With Cresset Over ‘Raid’ Of Private Bankers

February 10th, 2022 at 2:20 PM
J.P. Morgan settled a lawsuit with Chicago-based advisory firm Cresset Asset Management pertaining to its alleged raid of at least 10 J.P. Morgan private bankers.
Read More

SEC to Advocate For More Transparent Fee Disclosures from Private Equity Firms

February 9th, 2022 at 1:09 PM
  The Securities and Exchange Commission (SEC) plans to consider and potentially implement rules requiring more expansive disclosures surrounding fees imposed by private equity firms.      
Read More

Judge Vacates Arbitration Award, Condemning ÍøÆØ³Ô¹Ïlls Fargo, Attorney and FINRA

February 8th, 2022 at 2:42 PM
A Georgia Superior Court judge has vacated an arbitration award that ÍøÆØ³Ô¹Ïlls Fargo had obtained nearly 3 years ago involving a client who sued the firm for mismanaging his account and, in doing so, has rocked the industry with sweeping, serious allegations of misconduct and conspiracy.
Read More

Former Morgan Stanley Advisor Settles FINRA Charge Over Inherited Account Coding

February 7th, 2022 at 11:22 AM
The Financial Industry Regulatory Authority (FINRA) has issued a 10-day suspension and a $2,500 fine against another former Morgan Stanley advisor over an alleged miscoding of trades on inherited accounts.
Read More

Stephens Wins $18.2 Million In Raiding Claim Against Ben Edwards

February 4th, 2022 at 12:48 PM
Stephens, Inc. has won nearly $18.2 million in an arbitration claim against Benjamin Edwards & Company over the raiding of an Arkansas branch.
Read More

FINRA Bars Former Bank of America Advisor For Allegedly Misappropriating Client Funds

February 3rd, 2022 at 11:44 AM
The Financial Industry Regulatory Authority (FINRA) has barred a former Bank of America advisor after he allegedly forged a client’s signature and misappropriated $58,000 of client funds.
Read More

Advisors Face Scrutiny After Selling $2 Billion In GWG Junk Bonds

February 2nd, 2022 at 3:15 PM
An alternative asset manager that had issued a collection of high-yield bonds known as L Bonds, GWG Holdings Inc., has struggled to cover its interest payments.
Read More

Supreme Court Rules On Landmark 401(K) Fee Suit

February 1st, 2022 at 1:01 PM
The U.S. Supreme Court has reversed an appellate court’s decision involving Northwestern University, which may impact numerous other pending lawsuits that target retirement plans with underperforming investments and excessive fees.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

The work that you and your team have performed on my behalf is exemplary.

JT

LATEST NEWS AND ARTICLES

1778521728 Law
May 11, 2026
Private Credit Funds Face Rising Redemptions and Valuation Scrutiny

Investor pressure on private credit funds continues to intensify as redemption requests increase and concerns emerge over how firms value underlying loan portfolios.

1778517375 Law
May 11, 2026
SEC Reports Decline in Enforcement Actions as Leadership Refocuses on Investor Harm

The U.S.

1778171646 Law
May 7, 2026
FINRA Bars Former Raymond James Broker for Refusing Testimony in Unauthorized Trading Probe

A former registered representative with Raymond James has been barred from the securities industry after refusing to cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into alleged unauthorized trading activity.