Search for: "Settlement of Professional Negligence Action Without Consent of Client"
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2 May 2024, 12:35 pm
This action violated NASD Rule 2510(b), which prohibits registered representatives from exercising discretion in customer accounts without written authorization accepted by the member firm. [read post]
1 May 2024, 10:16 pm
Komarow reached a partial settlement with the SEC, agreeing not to open any brokerage accounts without providing a copy of the SEC’s court complaint and judgment and is barred from placing trades using unsettled cash. [read post]
10 Apr 2024, 8:45 pm
Don't consent to a settlement without consulting a lawyer. [read post]
17 Mar 2024, 7:14 pm
The settlement, submitted through a Letter of Acceptance, Waiver, and Consent (AWC), includes findings by FINRA without admission or denial by Stifel. [read post]
24 Jan 2024, 9:00 am
Wrongful death occurs when someone dies due to another person’s negligent actions or omissions. [read post]
18 Jan 2024, 6:47 am
RPC could not properly have advised or acted for borrower and lender without the informed consent of both. [read post]
22 Aug 2023, 8:46 am
This alleged trading occurred without his employer’s knowledge or consent. [read post]
16 Aug 2023, 9:04 am
FINRA was investigating allegations that Coburn was involved in the solicitation of multiple clients to invest in an unapproved private securities transaction and reportedly engaged in the settlement of a related customer complaint without the Firm’s knowledge or consent. [read post]
10 May 2023, 4:00 am
As professionals, they need continuing education that keeps them up to date on important issues and on changes to their craft. [read post]
17 Apr 2023, 12:40 pm
Investment Management Company reportedly advised clients to purchase or hold mutual fund share classes that charged higher fees, called 12b-1 fees, when lower-cost share classes of those same funds were available and without the 12b-1 fees. [read post]
30 Mar 2023, 6:52 am
If your broker or investment advisor breaches any of these duties, they may be subject to disciplinary action by regulatory authorities, and the client may have the right to pursue legal action to recover damages. [read post]
9 Jan 2023, 6:12 am
“Attorney Censured Over Conflict of Interest in Steering Clients to Employer’s Title Company” — “A New Jersey attorney has been censured for multiple violations of the Rules of Professional Conduct, including one count that alleged he steered 19 clients to use his employer, All-Pro Title Group, for real estate closings without written permission waiving the conflict of interest or providing them the opportunity to employ another title… [read post]
17 Aug 2022, 4:50 am
In this case, the client’s consent was not voluntarily or freely given. [read post]
20 Jun 2022, 3:59 pm
Consent Errors – medical professionals are required to inform a patient about the risks and benefits of a treatment plan. [read post]
20 Apr 2022, 3:32 am
The retainer agreement between the parties contained the following terms: “Edelman & Edelman is authorized to enter into negotiations regarding possible settlement, but will not settle or compromise this matter without the prior express consent of the Client. [read post]
28 Jun 2021, 12:35 pm
’s consent, an agreement was reached among the parties to settle the lawsuit for the sum of $625,000. [read post]
18 Sep 2020, 4:00 am
As a result, she commenced an action in negligence against her former lawyer. [read post]
29 Jul 2020, 8:53 am
Your consent is highly relevant here. [read post]
Broker Ken Kavanagh Of Morgan Stanley Suspended, Fined For Not Disclosing Business Managing Athletes
6 Jan 2020, 8:30 am
Suspension For Outside Business Activity In August, 2018, Kavanagh consented to sanctions and findings that he “engaged in outside business activities without providing prior written notice to his member firm. [read post]
4 Oct 2019, 2:35 pm
Declaratory Judgment Action Shrader & Associates filed this declaratory judgment action against the Carrascos seeking an order compelling arbitration of their legal malpractice claim. [read post]
