Call Now for a Free Consultation
(888) 637-5510

Publications

Blog, Publications

BottomLine Inc.: Beware Brokers Who Run Up Charges

Bottom Line Inc. Article on Churning On December 1, 2018, Bottom Line Inc. published an article warning consumers to be careful of brokers...

Read More

Publications

Investment News: Client wins $433,000 through FINRA arbitration claim..

Growing problem: Unpaid Arbitration Awards According to an article in Investment News, unpaid arbitration awards are a growing problem. The...

Read More

Blog, Publications

Investment News: New FINRA head Robert Cook…

New CEO of the Financial Industry Regulator Authority to Publish Examination Findings According to an article in Investment News,  FINRA...

Read More

Blog, Publications

Investment News: Couple files Finra arbitration claim against Morgan Stanley in connection with energy investment

A retired couple from North Carolina has filed an arbitration claim against Morgan Stanley, alleging it failed to adequately disclose the...

Read More

Publications

Investment News: Wells Fargo faces major test of broker liability for selling F Squared

A Wells Fargo Advisors client has asked arbitrators to recover money he says he lost investing with F-Squared Investments Inc., his lawyer said Wednesday, testing whether investors can challenge brokerage firms who sold the troubled asset manager’s products…

Read More

Publications

Public Investors Arbitration Bar Association Journal: Brokerage Firm Counterclaims: Firms’ attempts to turn liabilities into assets

his article addresses what appears to be a growing problem and our experience in defending against it. Specifically, broker-dealers’ attempts to apply indemnification clauses in private placement subscription agreements—intended to apply solely to the sponsor of the investment—to themselves…

Read More