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Todd Lesk Barred after Selling Away Allegations 
17 Oct 2023, 10:23 am by The White Law Group
    According to his FINRA BrokerCheck report, Lesk was reportedly affiliated with the following firms during his career in the securities industry, among others:  09/01/2022 – 10/05/2023, CAMBRIDGE INVESTMENT RESEARCH, INC. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Dividend Recaps: Potential Risks for Private Equity Firms and Their Insurers
9 Oct 2023, 2:34 pm by Kevin LaCroix
  Dividend recaps are also distinctive for their close association with the private equity industry. [read post]
The D & O Diary - http://www.dandodiary.com/
Alternative Investment Losses
28 Sep 2023, 12:22 pm by The White Law Group
  Match Investment to Customer Profile: The broker must match the characteristics of the alternative investment to the customer’s profile. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
When Your Financial Advisor Files for Bankruptcy
27 Sep 2023, 7:30 am by The White Law Group
  CFP Board Discloses CFP Planner Bankruptcies  The Certified Financial Planner Board of Standards, Inc. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Ron Filoramo Allegedly Defrauded Customers
20 Sep 2023, 7:20 am by The White Law Group
  According to his FINRA broker profile, Filoramo has four pending customer complaints filed against him in March and April of this year. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Annual Report 2023
13 Sep 2023, 11:46 am by LII Team
Elenis, Students for Fair Admissions Inc. v. [read post]
LII Announce - http://blog.law.cornell.edu
Ameriprise Financial Services Overview 
8 Sep 2023, 12:51 pm by The White Law Group
    The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
OSHA Proposing To Expand Third Parties Allowed To Accompany Employees During Inspections
2 Sep 2023, 1:12 pm by Cynthia Marcotte Stamer
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
HR & Benefits Update - http://slphrbenefitsupdate.com/
Did You Lose Money With Chuck Roberts?
1 Sep 2023, 6:07 am by Silver Law Group
Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Employers Should Prepare for Proposed DOL Rules To Disqualify Additional 4 Million Workers For FLSA Exempt Status
31 Aug 2023, 9:16 am by Cynthia Marcotte Stamer
Destiny Healthcare Services, Inc,. [read post]
HR & Benefits Update - http://slphrbenefitsupdate.com/
Hilltop Securities Overview 
29 Aug 2023, 12:32 pm by The White Law Group
 Hilltop Holdings, Inc. completed its acquisition of SWS Group, Inc. in 2015. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Western International Securities Customer Complaints
27 Aug 2023, 7:49 pm by The White Law Group
They can have serious consequences for a broker-dealer’s profile and reputation. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Woodbury Financial Services Overview 
25 Aug 2023, 11:47 am by The White Law Group
They can have serious consequences for a broker-dealer’s profile and reputation. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Guest Post: As Derivative Settlements Trend Higher, Side-A Coverage Becomes Crucial
24 Aug 2023, 11:18 am by Kevin LaCroix
Following two high profile plane crashes involving the Boeing Max 737, the defendants settled the derivative litigation for a cash payment to the company of $237.5 million, which was fully funded by insurance. [read post]
The D & O Diary - http://www.dandodiary.com/
Vincent Pucciarelli Jr. Broker Investigation 
23 Aug 2023, 11:03 am by The White Law Group
(CRD#: 2039846) was barred from the securities industry on August 9, 2023. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Securities America Inc. Overview  
16 Aug 2023, 9:04 am by The White Law Group
They can have serious consequences for a broker-dealer’s profile and reputation. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
AMC settlement approved; offending release left on cutting room floor
15 Aug 2023, 5:56 am by Unknown
While the plaintiffs’ fiduciary duty claim had merit—the plaintiffs’ allegations would have warranted enhanced scrutiny under Blasius Industries, Inc. v. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Remote Work Role Not Justification For Failure To Accommodate Deaf Applicant, EEOC Charges
14 Aug 2023, 1:20 pm by Cynthia Marcotte Stamer
  About Solutions Law Press, Inc. [read post]
HR & Benefits Update - http://slphrbenefitsupdate.com/
Royal Alliance Associates Overview
14 Aug 2023, 2:11 am by The White Law Group
They can have serious consequences for a broker-dealer’s profile and reputation. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Tri-Agencies Announce New Surprise Billing IDR Fees While Continuing IDR Suspension After Federal Court Ruling
11 Aug 2023, 10:11 am by Cynthia Marcotte Stamer
  About Solutions Law Press, Inc. [read post]
HR & Benefits Update - http://slphrbenefitsupdate.com/