Disclaimers

Attorney-Client Relationship Disclaimer

The material and statements provided throughout this web site do not create, and are not intended to create, an attorney-client relationship, and no one in this firm is agreeing to represent you in any legal matter. If you are already represented by an attorney, then no attorney or employee of this firm can speak with you nor provide legal advice to you without the consent of your attorney. Accordingly, if you are already represented by an attorney, please do not contact one of our attorneys or employees without your lawyer's consent.

Email Disclaimer

Caution - Before you proceed please note: Do not send us any confidential information. By contacting us via email or the contact information contain on this website you agree that our review of the information contained in your correspondence and any attachments will not create an attorney-client relationship or an attorney-prospective client relationship between you and our firm or any lawyer in our firm and will not prevent any lawyer in our firm from representing a party in any matter where that information is relevant, even if you submitted the information in a good faith effort to retain us, and, further, even if that information is highly confidential and could be used against you.

 

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LATEST NEWS AND ARTICLES

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.

June 26, 2025
SEC Charges Marine Veteran in $2.5 Million Ponzi Scheme

The Securities and Exchange Commission (“SEC”) has charged Marine Corps veteran Christopher Aubin with fraud, accusing him of running a $2.5 million Ponzi scheme that defrauded dozens of investors, including several of his former military colleagues.

June 25, 2025
FINRA Fines and Suspends Advisor for Selling Away and Receiving Client Loans

The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Jose Antonio “Tony” Navarro for selling unapproved investments and borrowing funds from clients.