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Federal Court Dismisses Most Claims in Class Action Lawsuit Related to GPB Investments

Posted on December 21st, 2020 at 3:13 PM
Federal Court Dismisses Most Claims in Class Action Lawsuit Related to GPB Investments

A class action lawsuit related to GPB investments has been largely dismissed by a federal court in New York.

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Cetera Fined by FINRA

Posted on December 18th, 2020 at 3:10 PM
Cetera Fined by FINRA

Cetera Advisor Networks LLC, Cetera Advisors LLC, and Cetera Financial Specialists LLC (collectively the “Cetera Firms”) agreed to pay a fine of $1 million to settle allegations made by FINRA Enforcement.

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FINRA Suspends Former CEO of CFG Capital Markets

Posted on December 17th, 2020 at 4:01 PM
FINRA Suspends Former CEO of CFG Capital Markets

Former CFG Capital Markets (“CFGCM”) CEO and Executive Managing Director, Kevin Rast, has agreed to pay a $7,500 fine and serve a four-month suspension from association with any FINRA member firm in any capacity.

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Massachusetts State Securities Regulators File Complaint Against Robinhood Financial

Posted on December 16th, 2020 at 4:41 PM
Massachusetts State Securities Regulators File Complaint Against Robinhood Financial

Massachusetts state securities regulators filed an administrative complaint against Robinhood Financial, LLC (“Robinhood”).

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SEC Issues Investor Alert for Covid-19-Related Scams

Posted on December 15th, 2020 at 10:49 AM
SEC Issues Investor Alert for Covid-19-Related Scams

In an Investor Alert email sent out on December 14, the U.S. Securities and Exchange Commission (“SEC”) warned of an increase in investment scams related to COVID-19.

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401(k) Lawsuits Increase in 2020

Posted on December 14th, 2020 at 4:45 PM
401(k) Lawsuits Increase in 2020

Lawsuits filed against 401(k) sponsors were on the rise in 2020.

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New York Yankees Pitcher Aroldis Chapman Sues Former Money Manager

Posted on December 11th, 2020 at 6:25 PM
New York Yankees Pitcher Aroldis Chapman Sues Former Money Manager

Aroldis Chapman, pitcher for the New York Yankees, is suing his former financial advisor, Pro Management Resources, alleging that the firm stole $3 million from him. 

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Infinity Financial Services to Pay $35,000 Fine for Failure to Investigate New Hires

Posted on December 10th, 2020 at 4:22 PM
Infinity Financial Services to Pay $35,000 Fine for Failure to Investigate New Hires

Infinity Financial Services has agreed to pay a $35,000 fine to settle allegations made by the Financial Industry Regulatory Authority (“FINRA”).

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BlueCrest Capital Management Agrees to Pay $170 Million to the SEC

Posted on December 9th, 2020 at 4:19 PM
BlueCrest Capital Management Agrees to Pay $170 Million to the SEC

BlueCrest Capital Management has agreed to pay $170 million to settle allegations from the U.S. Securities and Exchange Commission (“SEC”) that the firm misled investors.

 

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Merrill Lynch to Pay $26 Million to New Hampshire Regulator to Settle Charges of Excessive Trading

Posted on December 8th, 2020 at 3:06 PM
Merrill Lynch to Pay $26 Million to New Hampshire Regulator to  Settle Charges of Excessive Trading

Merrill Lynch has agreed to pay a $2 million fine and $24.3 million in reimbursement to clients to settle an action brought by the New Hampshire Bureau of Securities Regulation.

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Latest Articles
Morgan Stanley Files Lawsuit Against $6 Million Team
January 14th, 2021 at 3:57 PM
FINRA Proposes Rule to Regulate “Restricted” Firms
January 13th, 2021 at 4:05 PM
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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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