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Page 1 of 117

Some Brokers Sold GPB Private Placements Allegedly with the Worst Wall Street Tactics

Posted on February 26th, 2021 at 1:32 PM
Some Brokers Sold GPB Private Placements Allegedly with the Worst Wall Street Tactics

According to news sources, some brokers arranged lavish client dinners and purchased private suites at Madison Square Garden to promote and sell $1.8 billion in private placements managed by GPB Capital.

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Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle

Posted on February 25th, 2021 at 3:18 PM
Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle

An employment agreement, including a one-paragraph amendment signed over a decade ago, now is playing a crucial role in ongoing litigation between Morgan Stanley and RBC.

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SEC Sues Morningstar Over Undisclosed Changes to Bond Ratings

Posted on February 24th, 2021 at 3:37 PM
SEC Sues Morningstar Over Undisclosed Changes to Bond Ratings

Morningstar Inc. allegedly made adjustments to 30 commercial mortgage-backed securities valued at $30 billion.

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J.P. Morgan Advisor Sued Over Client Solicitations and Transfers

Posted on February 23rd, 2021 at 2:45 PM
J.P. Morgan Advisor Sued Over Client Solicitations and Transfers

J.P. Morgan Securities sued a former New Jersey-based advisor, who joined Merrill Lynch in January.

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Firms Seek FINRA Approval to Relax In-Person Inspection Requirements

Posted on February 22nd, 2021 at 9:54 AM
Firms Seek FINRA Approval to Relax In-Person Inspection Requirements

Member firms have requested that the Financial Industry Regulatory Authority (FINRA)  ease in-person supervision requirements and revise other rules to reflect current digital business operations.

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Advisors Turn to Alternatives for Safety

Posted on February 19th, 2021 at 10:03 AM
Advisors Turn to Alternatives for Safety

Financial advisors have embraced a broader perspective on the record-level valuations occurring against the backdrop of the COVID-19 pandemic.

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Boca Raton Financial Advisor Terminated by Morgan Stanley

Posted on February 18th, 2021 at 9:12 AM
Boca Raton Financial Advisor Terminated by Morgan Stanley

Morgan Stanley has removed a 31-year veteran who managed $959 million in client assets.

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SEC Wants Court-Appointed External Monitor to Protect GPB Capital Investors

Posted on February 17th, 2021 at 9:22 AM
SEC Wants Court-Appointed External Monitor to Protect GPB Capital Investors

After charging GPB Capital executives with fraud, The Securities Exchange Commission (SEC) wants an external monitor to govern GPB Capital actions.

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Florida Based Broker Barred for Improperly Seeking Virus Relief Loan

Posted on February 16th, 2021 at 10:54 AM
Florida Based Broker Barred for Improperly Seeking Virus Relief Loan

The Financial Industry Regulatory Authority (FINRA) has barred a former Wells Fargo bank-based broker accused of improperly seeking a coronavirus relief loan.

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Morgan Stanley Dismisses Veteran Financial Advisor

Posted on February 15th, 2021 at 1:24 PM
Morgan Stanley Dismisses Veteran Financial Advisor

Morgan Stanley dismissed a veteran financial advisor from Dallas.

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Page 1 of 117
Latest Articles
Some Brokers Sold GPB Private Placements Allegedly with the Worst Wall Street Tactics
February 26th, 2021 at 1:32 PM
Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle
February 25th, 2021 at 3:18 PM
Read More »
Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel
October 15th, 2020 at 10:02 AM
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