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17 Apr 2018, 2:19 pm
Michael Giokas – Giokas Wealth Advisors – Securities Investigation Update The White Law Group continues to investigate potential claims involving New York financial advisor Michael Giokas and Giokas Wealth Advisors. [read post]
11 Apr 2016, 6:05 am
The two largest proxy advisors are Institutional Shareholders Services, Inc. [read post]
11 Apr 2016, 6:05 am
The two largest proxy advisors are Institutional Shareholders Services, Inc. [read post]
21 Jul 2017, 6:52 am
As reported in the industry press, UBS Financial Services has been embroiled in a high-profile lawsuit against former financial advisors of its Stamford, Connecticut office. [read post]
8 Apr 2009, 8:32 am
Court of Appeals for the 8th Circuit dealt a blow to Ameriprise Financial. [read post]
29 Apr 2011, 12:58 pm
A Financial Industry Regulatory Authority arbitration panel says that Lincoln Financial Advisors Corporation must pay the Wright Family Trust $1.6M over securities claims related to investments that were made in a number of funds. [read post]
20 Jun 2024, 3:10 pm
An article in Advisor Hub, published on June 20, 2024, features a quote from Gregg Breitbart, Kaufman Dolowich Co-Chair of our Financial Services & Institutions Practice. [read post]
22 Dec 2022, 6:31 am
Institutional Shareholder Services (ISS) and Glass Lewis, the leading proxy advisors in the United States, have announced updates and clarifications for their voting guidelines for the 2023 proxy season. [read post]
22 Dec 2022, 6:31 am
Institutional Shareholder Services (ISS) and Glass Lewis, the leading proxy advisors in the United States, have announced updates and clarifications for their voting guidelines for the 2023 proxy season. [read post]
16 Apr 2018, 11:00 am
The post Illinois Financial Advisor Daniel Glick Settles Charges with SEC appeared first on White Securities Law. [read post]
31 Jan 2008, 4:15 am
Zurich Financial Services has announced that former UK prime minister, Tony Blair, is to advise the insurance based financial services giant on developments and trends in the international political environment. [read post]
14 Nov 2019, 3:14 pm
According to a Complaint filed by Janney Montgomery Scott (“Janney”) in the Eastern District of Pennsylvania, financial advisor Jordan Braunstein (“Braunstein”) left with firm client data and violated the restrictive covenants in his contracts. [read post]
11 Jul 2018, 5:49 am
From 2011 to 2017, it was revealed that Glick misappropriated funds through the three financial services and accounting firms he owned in Orland Park, Illinois: Glick & Associates Ltd., Glick Accounting Services Inc., and Financial Management Strategies, Inc. [read post]
12 Aug 2020, 8:49 am
Six Retirees File Suit Alleging Financial Advisor James Blake Daughtry stole $1 Million from Retirement Accounts According to AL.com on July 23, five seniors residing in Alabama and one in Florida filed a lawsuit in Houston County, Alabama alleging their financial advisor, James Blake Daughtry stole more than $1 million from their retirement accounts by purportedly copying and pasting their signatures on documents. [read post]
22 Dec 2011, 10:44 am
In an earlier letter to the SEC, Financial Services Committee Chair Spencer Bachus (R-AL) said that the proposed regulations are overly broad and would reach significantly more people than Congress intended. [read post]
3 May 2018, 7:24 am
Have you suffered losses investing with financial advisor James Knee? [read post]
30 Jul 2021, 8:11 am
American Trust Investment Services Broker Accused of Recommending Unsuitable Investments to Investors David Richard Geake, an Indiana-based broker and investment advisor with American Trust Investment Services, is currently facing three customer disputes in which the claimants are accusing him of making unsuitable investment recommendations. [read post]
14 Sep 2021, 6:05 am
According to newsources, a study revealed that 7.3% of financial advisors had a customer complaint on their record when records from 2005 to 2015 were examined. [read post]
5 Mar 2012, 2:54 pm
Becerril II, a financial advisor formerly registered with FINRA and residing in Huntington Beach, California, was recently arrested for allegedly taking part in a complex murder-for-profit scheme. [read post]
5 Mar 2012, 2:54 pm
Becerril II, a financial advisor formerly registered with FINRA and residing in Huntington Beach, California, was recently arrested for allegedly taking part in a complex murder-for-profit scheme. [read post]
