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

Ä¢¹½´«Ã½

Ä¢¹½´«Ã½ Blog

FINRA Issues Ä¢¹½´«Ã½lls Notice to Advisor Austin Dutton

April 4th, 2024 at 1:14 PM
Austin Dutton, a seasoned Philadelphia-area advisor, received a Ä¢¹½´«Ã½lls Notice from the Financial Industry Regulatory Authority Inc. (FINRA).
Read More

Former Advisor Awarded $147,000 in Morgan Stanley Dispute Over Congressional Run

April 3rd, 2024 at 3:18 PM
In a recent arbitration decision, FINRA ordered Morgan Stanley to pay $147,000 in damages to Deborah Adeimy, a former advisor from Florida.
Read More

FINRA Charges Multiple Firms for Communication Failures

April 2nd, 2024 at 10:04 AM
FINRA has penalized several broker-dealers and investment advisors for widespread and longstanding failures to maintain and preserve electronic communications, including WhatsApp messages and texts.
Read More

FINRA Charges Advisor for Illicit Commissions Linked to Unregistered Advisor

April 1st, 2024 at 9:53 AM
The Financial Industry Regulatory Authority Inc. (FINRA) has taken action against a California broker, Daniel Beech, allegedly for funneling $900,000 in commissions to an unregistered financial advisor.
Read More

FINRA Sanctions Advisor for Unapproved Fundraising Activities Following Approved OBA

March 28th, 2024 at 1:07 PM
The Financial Industry Regulatory Authority (FINRA) has levied a $15,000 fine and a 21-month suspension against a former advisor, Jeffrey W. Davidson, based in Austin, Texas. Davidson engaged in fundraising activities that raised over $10 million for a fitness company owned by him and his wife.
Read More

FINRA Sanctions Advisor for Signature Falsifications

March 27th, 2024 at 2:10 PM
A 46-year industry veteran from Braintree, Massachusetts, Timothy W. Leveroni, has settled a disciplinary matter by the Financial Industry Regulatory Authority (FINRA) for falsifying signatures, per a settlement agreement known as an Acceptance Waiver and Consent (“AWC”).
Read More

SEC Accuses Former Morgan Stanley Advisor of Defrauding Clients

March 26th, 2024 at 4:32 PM
The Securities and Exchange Commission (SEC) has filed fraud charges against Jesus Rodriguez, accusing him of misappropriating nearly $3.5 million from at least 10 brokerage account holders and advisory clients.
Read More

J.P. Morgan Securities Settles $18 Million SEC Case Over Whistleblower Violations

March 25th, 2024 at 3:31 PM
J.P. Morgan Securities faced a significant penalty as it settled charges brought by the Securities and Exchange Commission (SEC) regarding actions that hindered clients from reporting potential securities law violations.
Read More

Philadelphia Father-Son Advisory Team Awarded Half-Million Dollars in Defamation Case at FINRA

March 22nd, 2024 at 12:00 PM
A Philadelphia-based father-son advisory team has won a significant victory in a FINRA arbitration case against their former firm, Woodbury Financial Services.
Read More

TIAA Settles SEC Charges for Violating Reg BI

March 21st, 2024 at 2:02 PM
The Teachers Insurance and Annuity Association of America (TIAA) has agreed to a $2.2 million settlement with the Securities and Exchange Commission (SEC) over allegations of violating Regulation Best Interest (Reg BI) in recommending investment options to clients opening individual retirement accounts (IRAs).
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

I learned two important things working with Ä¢¹½´«Ã½. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.

LATEST NEWS AND ARTICLES

1786980584 Law
August 17, 2026
Federal Judge Allows Investor Class Action Over Lightstone REIT Disclosures to Proceed

A federal judge has allowed investors to proceed with a class-action lawsuit alleging that directors and advisors of three Lightstone Value Plus REITs failed to disclose a significant conflict of interest before shareholders voted on amendments extending the funds' operating periods.

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.