Stephany McLaughlin Shares Her Input OnWallStreet

Posted on December 23rd, 2016 at 11:58 AM
Stephany McLaughlin Shares Her Input OnWallStreet

Recently, Stephany McLaughlin shared her thoughts on former Southwest Securities adviser Kimberly Rose and her journey through arbitration. "They did not prepapre her in anyway.  Her supervisors ignored her request for assistance," said Stephany McLaughlin. Explaining that Kimberly Rose was wrongly terminated for failing to comply with an audit, despite the fact that she did ask for her supervisors assistance.  

McLaughlin explains that Rose's case is now in the process of expungement.  "This was the right result. Kim Rose did not deserve this. Other advisers in her position should seriously consider filing an arbitration to clear their records," she says.

To read the full article, click here.  

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial advisors including broker litigation & arbitrationtransition contract reviewemployment mattersFINRA defense , and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.  

 

Related Attorneys: James J. Eccleston, Stephany D. McLaughlin

Tags: Eccleston, Eccleston Law, Eccleston Law LLC, James Eccleston, OnWallStreet, Stephany McLaughlin, adviser, Southwest Securities, wrongful termination,

Return to Archive

TESTIMONIALS

Previous
Next

If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

LATEST NEWS AND ARTICLES

June 14, 2024
Wells Fargo Fires Employees for Faking Work

Wells Fargo & Co. recently terminated over a dozen employees following an investigation into allegations of fake work activities.

June 13, 2024
FINRA Struggles to Revise Outside Business Rules

The Financial Industry Regulatory Authority’s (FINRA) attempt to update its rules on advisors’ outside business activities has stalled, according to Robert Colby, FINRA's chief legal officer.

June 12, 2024
Tax Court Denies Madoff Victims $8.2 Million Deduction

Victims of Bernie Madoff's Ponzi scheme, Christopher and Silvana Pascucci, cannot claim an $8.2 million tax deduction for their investment in life insurance premiums.