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

Ä¢¹½´«Ã½

Ä¢¹½´«Ã½ Blog

Brokerage Firms Shift Away from Centralized Portfolio Management as Advisor Autonomy Grows

December 11th, 2024 at 11:03 AM
After years of promoting centralized portfolio management, brokerage firms are increasingly supporting advisors who prefer more control over investment decisions, according to AdvisorHub. 
Read More

Former Ä¢¹½´«Ã½lls Fargo Advisor Pleads Guilty to $3 Million Fraud Scheme

December 10th, 2024 at 11:18 AM
A former Ä¢¹½´«Ã½lls Fargo advisor, Kenneth A. Ä¢¹½´«Ã½lsh, has pleaded guilty to charges of wire fraud and investment advisor fraud after stealing over $3 million from his clients, according to Ä¢¹½´«Ã½althManagement.
Read More

Court Dismisses Whistleblower Lawsuit Against Fidelity Investments

December 9th, 2024 at 11:14 AM
A federal court has dismissed a whistleblower lawsuit filed by a former financial advisor against Fidelity Investments. According to ThinkAdvisor, the case involves allegations that the company fired him for reporting unethical practices.
Read More

Former Tesla and Lyft Executive Launches ETF Firm

December 6th, 2024 at 1:22 PM
Jon McNeill, a former executive at Tesla and Lyft and co-founder of venture firm DVx Ventures, has partnered with ETF pioneer Adam Patti to launch VistaShares, an asset management firm specializing in ETFs centered on artificial intelligence and electrification.
Read More

SEC Charges Boca Raton Advisor with $2.1 Million Fraud Scheme

December 5th, 2024 at 3:58 PM
The U.S. Securities and Exchange Commission (SEC) has charged David Kushner, a Boca Raton, Florida resident, and his company, La Mancha Funding Corp., with defrauding nearly two dozen investors out of approximately $2.1 million.
Read More

Ä¢¹½´«Ã½lls Fargo Advisors Ordered to Pay $500,000 for Misuse of Former Advisor's Name

December 4th, 2024 at 3:55 PM
Ä¢¹½´«Ã½lls Fargo Advisors must pay nearly $500,000 in damages to Nicholas Takahashi, for allegedly using his name on their website long after he left for a competitor.
Read More

Client Associates Sue Firms Over Discrimination and Wrongful Termination

December 3rd, 2024 at 2:30 PM
Three former client associates have accused major financial institutions—Charles Schwab, Morgan Stanley, and Ameriprise Financial—of wrongful termination.
Read More

Ä¢¹½´«Ã½lls Fargo Terminates Advisor Over $60 Personal Expense

December 3rd, 2024 at 9:07 AM
Ä¢¹½´«Ã½lls Fargo Advisors recently terminated Charles J. Kraft, a 30-year industry veteran, over a $60 expense account infraction.
Read More

Class Action Suits Target Major Banks Over Cash Sweep Programs

November 27th, 2024 at 1:04 PM
Ä¢¹½´«Ã½lls Fargo, Merrill Lynch, and Morgan Stanley face class action lawsuits alleging they exploited cash sweep programs to generate “massive revenue” at clients' expense.
Read More

Arizona Revokes Advisor's License for Misrepresenting High-Risk GPB Capital Investments

November 26th, 2024 at 10:21 AM
The Arizona Corporation Commission has revoked the license of Scottsdale-based investment advisor representative Luke M. Johnson, who sold over $10 million in high-risk private placements by GPB Capital Holdings. 
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.