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

Ä¢¹½´«Ã½

Ä¢¹½´«Ã½ Blog

SEC Accuses Upright Financial and Founder of Breaching Prior Settlement and Misleading Investors

April 24th, 2025 at 2:14 PM
According to InvestmentNews, the Securities and Exchange Commission (“SEC”) has charged registered investment advisor Upright Financial Corp. and its founder, David Yow Shang Chiueh, for violating a prior settlement agreement and continuing a pattern of misconduct that allegedly defrauded investors and breached fiduciary duties.
Read More

Ex-Merrill Lynch Advisor to Appeal Ruling Dismissing ERISA Class Action

April 23rd, 2025 at 11:52 AM
A former Merrill Lynch advisor plans to challenge a federal judge’s ruling that dismissed his proposed class action against the firm when it forfeited his deferred compensation.
Read More

FINRA Proposes Accelerated Arbitration for Ill Parties and Elderly

April 22nd, 2025 at 12:07 PM
The Financial Industry Regulatory Authority (“FINRA”) has submitted a proposed rule change to the SEC aimed at speeding up arbitration proceedings for parties who are elderly or suffering from serious health conditions.
Read More

Former Morgan Stanley Advisor Sentenced to 12 Years in Prison for Multimillion-Dollar Fraud

April 21st, 2025 at 11:14 AM
Jesus Rodriguez de la Cruz, a former Morgan Stanley advisor, has been sentenced to 12 years in federal prison for orchestrating a complex fraud scheme that misappropriated millions from clients and the firm itself, AdvisorHub reports.
Read More

Robinhood Markets Faces Scrutiny in Massachusetts Investigation

April 18th, 2025 at 2:03 PM
Massachusetts Secretary of State Bill Galvin has issued a subpoena to Robinhood Markets Inc., seeking information on the firm’s prediction-markets business and its potential links to gambling.
Read More

SEC Charges Hedge Fund Founder with Fraud in $4 Million Scheme

April 17th, 2025 at 1:59 PM
The Securities and Exchange Commission (SEC) has charged Alan Burak, founder of Never Alone Capital LLC, with orchestrating a fraudulent investment scheme that raised approximately $4 million from investors.
Read More

GWG Bondholders Offered Settlement Worth Just Cents on the Dollar

April 16th, 2025 at 11:44 AM
Distressed investors who purchased $1.6 billion in GWG L bonds may soon receive a small fraction of their original investment under a proposed settlement.
Read More

Stifel Ordered to Pay $133 Million in FINRA Arbitration

April 15th, 2025 at 1:38 PM
Stifel Financial’s retail broker-dealer must pay nearly $133 million in damages following a FINRA arbitration tied to Miami-based advisors' structured note strategy.
Read More

Former UBS Advisors Sue Firm Over Unpaid Wages and Business Expense Deductions

April 14th, 2025 at 12:52 PM
Two former UBS financial advisors have filed a class action lawsuit accusing UBS of failing to reimburse necessary business expenses, unlawfully deducting costs from wages, and delaying payments to employees who quit or were terminated.
Read More

FINRA Bars Advisor for Raising $11 Million in Unapproved Private Investments

April 11th, 2025 at 1:00 PM
The Financial Industry Regulatory Authority (FINRA) has barred a 21-year industry veteran for engaging in unapproved private securities transactions totaling $11 million.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

You are the best attorneys in the country.

CC

LATEST NEWS AND ARTICLES

1786734880 Law
August 14, 2026
Cash Sweep Litigation Continues to Drive Legal Costs

Cash sweep litigation continues to increase legal costs for wealth management firms despite the Securities and Exchange Commission's (SEC) decision under the Trump administration to close pending investigations without imposing enforcement penalties, according to AdvisorHub.

1786636784 Law
August 13, 2026
FINRA Orders Centaurus Financial to Pay $1.1 Million Over Variable Annuity Supervision Failures

The Financial Industry Regulatory Authority (FINRA) has ordered Centaurus Financial Inc.

1786553985 Law
August 12, 2026
Proposed FINRA Enforcement Reforms Draw Mixed Reactions From Industry Participants

A new report recommending changes to the Financial Industry Regulatory Authority's (FINRA) enforcement program has generated mixed reactions from investor advocates, securities attorneys and industry professionals, according to ThinkAdvisor.