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Tagged with "lawsuit"

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Morgan Stanley Files Lawsuit Against $6 Million Team

Posted on January 14th, 2021 at 3:57 PM
Morgan Stanley Files Lawsuit Against $6 Million Team

A $6 million advisor team led by Wade Martin left Morgan Stanley to join RBC Wealth Management-U.S. in October 2020.

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SEC Files Suit Against Eric Malley and MG Capital Management

Posted on January 12th, 2021 at 9:27 AM
SEC Files Suit Against Eric Malley and MG Capital Management

The U.S. Securities and Exchange Commission (“SEC”) has filed a lawsuit against Eric C. Malley, and his company MG Capital Management L.P.

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SEC Files Suit Against DeAndre Sears for Role in EquiAlt Ponzi Scheme

Posted on January 7th, 2021 at 3:29 PM
SEC Files Suit Against DeAndre Sears for Role in EquiAlt Ponzi Scheme

The U.S. Securities and Exchange Commission (“SEC”) has filed a lawsuit against DeAndre P. Sears and his company MASears LLC, also known as Picasso Group

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Former Morgan Stanley Advisor Files Lawsuit over Deferred Compensation

Posted on January 4th, 2021 at 3:54 PM
Former Morgan Stanley Advisor Files Lawsuit over Deferred Compensation

Matthew T. Shafer, a former advisor for Morgan Stanley Wealth Management, has filed a putative class action against Morgan Stanley, AdvisorHub reported. 

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Advisor Agrees to Refund $2.75 Million in Commissions and Serve One-Year Suspension

Posted on October 23rd, 2020 at 1:44 PM
Advisor Agrees to Refund $2.75 Million in Commissions and Serve One-Year Suspension

In a settlement with the Texas State Securities Board, Brooklynn Chandler Willy agreed to pay $2.75 million and have her license as an investment adviser representative suspended for one year.

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Wawa to Pay $21.6 Million to Settle ESOP Lawsuit

Posted on July 15th, 2020 at 3:35 PM
Wawa to Pay $21.6 Million to Settle ESOP Lawsuit

Convenience store chain Wawa has agreed to pay $21.6 million to settle a 2018 class-action lawsuit regarding the company’s employee stock option plan (“ESOP”).  The settlement is still pending court approval. Wawa previously paid $25 million to settle a class-action lawsuit in 2016 that involved similar allegations relating to Wawa’s ESOP.

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UBS Sues Former Advisor

Posted on June 11th, 2020 at 4:22 PM
UBS Sues Former Advisor

UBS Wealth Management USA has filed a lawsuit against former advisor, Alexandra VanMeurs.  After 13 years at UBS, VanMeurs left the firm in May to join Morgan Stanley. UBS is seeking to enjoin VanMeurs from calling clients she serviced at UBS. Although such lawsuits are not uncommon in the industry, the case has an interesting twist.

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Sales in Unregistered Securities Are Soaring but It Comes at a Cost - Part 1

Posted on May 2nd, 2019 at 4:40 PM
Sales in Unregistered Securities Are Soaring but It Comes at a Cost - Part 1

This is the first in a series which highlights an InvestmentNews article concerning the recent uptick in the sale of unregistered securities and how those transactions have resulted in the proliferation of fraudulent schemes.

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Franklin Templeton Settles 401(k) Class-Action Lawsuit for $14 Million

Posted on February 25th, 2019 at 3:59 PM
Franklin Templeton Settles 401(k) Class-Action Lawsuit for $14 Million

Franklin Templeton Investments has agreed to pay approximately $14 million to settle a 2016 class-action lawsuit filed in the U.S. District Court for the Northern District of California.

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Commonwealth Financial Network Files Lawsuit and FINRA Arbitration Claim Against Ohio National Life Insurance Company for Fraudulent Variable Annuity Scheme

Posted on November 19th, 2018 at 9:49 AM
Commonwealth Financial Network Files Lawsuit and FINRA Arbitration Claim Against Ohio National Life Insurance Company for Fraudulent Variable Annuity Scheme

In an unprecedented move, Ohio National Life Insurance Company (Ohio National) announced that starting mid-December the company will be terminating its selling agreements with brokerage firms and ceasing payments on all brokers’ trail commissions on variable annuity sales.

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Just Saying “No” to Firm-Provided and Conflicted Legal Counsel in Your Transition may avoid problems later
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