Tagged with "complaints"

Affidavit of Merit Received in Eccleston Law’s $25 Million Legal Malpractice Action

Posted on April 1st, 2021 at 9:36 AM
Affidavit of Merit Received in Eccleston Law’s $25 Million Legal Malpractice Action

Affidavit of Merit Received in Eccleston Law’s $25 Million Legal Malpractice Action On Behalf of Transitioning Morgan Stanley Advisors Who Retained Michael Taaffe and the Shumaker Loop Firm

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CFP Board Enforcement Process: Resolution of Complaints

Posted on August 24th, 2020 at 2:58 PM
CFP Board Enforcement Process: Resolution of Complaints

This is the tenth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding resolution of complaints.

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LATEST NEWS AND ARTICLES

April 24, 2024
RIA Insurance Claims Skyrocket

A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.

April 22, 2024
FINRA Fines Independent Broker-Dealers Over Cybersecurity Lapses

The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.