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FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
22 Oct 2019, 12:22 pm by Silver Law Group
  Ameriprise Financial Services   NBC Securities   Jeffrey Lundstrom   Signator Investors, Inc   Transamerica Financial Advisors   Uriah Mitchell   JP Morgan Securities   Raymond Montchal   Morgan Stanley   Citigroup Global Markets   Robert Neuedorf   David Lerner Associates   Merrill Lynch, Pierce, Fenner & Smith Silver Law Group represents investors in securities and investment fraud cases through FINRA… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
House Financial Services Subcommittee on Oversight and Investigations to hold Sept. 4 hearing on financial inclusion
3 Sep 2019, 10:18 am by Alan S. Kaplinsky
The following witnesses will testify: Panel One Belinda Everette, Director, Housing Initiative, NAACP Houston Branch Judson Robinson III, CEO and Chair, Houston Area Urban League Hua Sun, Professor, University of Iowa John Wong, Founding Chair, Asian Real Estate Association of America Dedrick Asante-Muhammad, Chief, Race, Wealth, and Community, National Community Reinvestment Coalition Panel Two Noel Poyo, Executive Director, National Association of Latino Community Asset Builders Gary Lindner,… [read post]
CFPB Monitor - http://www.cfpbmonitor.com
New Issue: International Organization
11 Aug 2019, 7:56 am
Smith, Secret but Constrained: The Impact of Elite Opposition on Covert Operations [read post]
International Law Reporter - http://ilreports.blogspot.com/
Frederick M. Stow— Alleged Misappropriation of Customer Funds
2 Aug 2019, 9:09 am by admin
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
Investor Lawyers News - https://investorlawyers.org/
Frederick M. Stow— Alleged Misappropriation of Customer Funds
2 Aug 2019, 9:09 am by admin
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
Goldman, Scarlato & Penny P.C. Blog - https://investorlawyers.org
56 Brokerage Firms to Pay $89M to Retirement and Charitable Accounts
26 Jul 2019, 1:24 pm by ccollins
Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) would like to offer you a free, no obligation case consultation. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Former LPL Broker and Ex-Convict Accused in $3.3M Investor Fraud
10 Jul 2019, 4:52 am by ccollins
If you believe any broker that represented you may have been a cause of your investment losses, contact Shepherd Smith Edwards and Kantas, LLP (SSEk Law Firm) today. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
In June 2019 FINRA Suspends Registered Individuals for Failures to Comply with FINRA Rules
1 Jul 2019, 12:43 pm by Silver Law Group
  Citigroup Global Markets Inc   Merrill Lynch, Pierce, Fenner & Smith Inc Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Investor Fraud Crimes: Ex-Hedge Fund Manager and Investment Advisor Sentenced | Securities Fraud Attorney
10 Apr 2019, 9:08 am by ccollins
Raymond Montoya, a former Boston hedge fund manager, is sentenced to 14 years in prison. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Litigation Science – In re Zambelli-Weiner
8 Apr 2019, 9:35 am by Schachtman
Back in 2001, in the aftermath of the silicone gel breast implant litigation, I participated in a Federal Judicial Center (FJC) television production of “Science in the Courtroom, program 6” (2001). [read post]
Tortini - http://schachtmanlaw.com/blog/
79 Investment Advisers To Give Over $125M Back to Mutual Fund Investors
19 Mar 2019, 11:18 am by ccollins
At Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm), our mutual fund investor fraud lawyers work with investors in getting back the losses they sustained due to investment adviser fraud, broker fraud, broker-dealer misconduct, or some other type of securities fraud. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Cruel and Unusual: Growing Old on Death Row
25 Jan 2019, 12:01 pm by John Floyd
The state of Arizona still planned to carry out his execution, just as the state of Texas had every intention to put 78-year-old Jack Harry Smith to death before he died in 2016. [read post]
Criminal Jurisdiction - http://www.johntfloyd.com/blog
As a general rule, the determination of whether a person is “qualified” should be made at the time of the alleged discriminatory employment action
9 Jan 2019, 4:00 am by Public Employment Law Press
Town of Ramapo, USSC, Second Circuit, Docket 18-148-cv* The single issue before the court in this appeal was whether Raymond K. [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
As a general rule, the determination of whether a person is “qualified” should be made at the time of the alleged discriminatory employment action
9 Jan 2019, 4:00 am by Public Employment Law Press
Town of Ramapo, USSC, Second Circuit, Docket 18-148-cv* The single issue before the court in this appeal was whether Raymond K. [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
FINRA Names Individuals Suspended in December 2018 for Failing to Comply with FINRA Rules
3 Jan 2019, 5:48 am by Silver Law Group
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS    Albin, William   Waddell & Reed   Metlife Securities Inc   Allen, David   Avenir Financial Group   Gunnallen Financial, Inc   Boupon, Kean   Morgan Stanley   Merrill Lynch, Pierce, Fenner & Smith… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
The shocking truth about “Father Christmas”
14 Dec 2018, 5:09 am by kjacks
Father Christmas was re-voiced by a very jolly William Dennis Hunt instead of the dour Mel Smith. [read post]
Law Bod Blog - http://blogs.bodleian.ox.ac.uk/lawbod/
Investor Fraud: Boston Hedge Fund Manager Pleads Guilty in Ponzi Scam Case, Ex-State Street Executive is Sentenced to 18 Months, and Willow Creek Fund Manger Must Forfeit $13M
29 Oct 2018, 12:50 pm by ccollins
Man Who Ran RMA Strategic Opportunity Fund Ponzi Scam Pleads Guilty Raymond K. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
October 2018 Disciplinary Actions Name Individuals Barred from FINRA for Violations of FINRA Rules
26 Oct 2018, 7:31 am by Silver Law Group
Cole Financial, Inc   Keven Gayle   NYLife Securities LLC   Jose Giraldo   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of America NA   Cristhelle Medina   J.P. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals for Violations of FINRA Rules in September 2018
2 Oct 2018, 5:40 am by Silver Law Group
  Damian Serret   PFS Investments Inc   Primerica Financial Services   Charles Suhar   The Huntington Investment Company   LPL Financial LLC   Zachary Swords   Farmers Financial Solutions, LLC   Bryce Vance   Farmers Financial Solutions, LLC   Stephen Yaworsky   Raymond James Financial Services, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
[David Kopel] The 1986 Plastic Gun Panic
7 Aug 2018, 3:39 pm by David Kopel
At that same hearing, Raymond A. [read post]
The Volokh Conspiracy - http://www.volokh.com/