Tagged with "loans"

LPL Financial Reports Record New Assets, And Increased Prom Note Liability

Posted on April 4th, 2019 at 4:51 PM
LPL Financial Reports Record New Assets, And Increased Prom Note Liability

In 2018, LPL Financial reported a record amount of assets that the firm recruited to its brokerage and advisory practices. The firm received $233.3 million of assets in 2018, a 46% increase from the year before.

Read More »

Massachusetts Charges Morgan Stanley For Unethical Behavior

Posted on October 7th, 2016 at 3:19 PM
Massachusetts Charges Morgan Stanley For Unethical Behavior

The state of Massachusetts has charged Morgan Stanley Smith Barney for conducting a sales contest among its financial advisers to encourage clients to borrow money against their brokerage accounts.  

Read More »

TESTIMONIALS

Previous
Next

I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.

Michael E.

LATEST NEWS AND ARTICLES

August 11, 2022
FINRA Suspends Former Schwab Advisor for Failing to Disclose Felony Charges

The Financial Industry Regulatory Authority (FINRA) has suspended a former Charles Schwab advisor who allegedly failed to disclose multiple felony charges.

August 10, 2022
UBS Wealth Group’s Legal Costs Skyrocket in Q2

UBS Wealth’s litigation expenses have substantially spiked in the second quarter as the firm has faced a host of investor complaints and regulatory probes into UBS’ volatile Yield Enhancement Strategy (YES).

August 9, 2022
UBS Wealth Relying on Lending as Client Assets Dip

UBS Wealth Management is relying on loan growth and increasing interest rates amidst a quarter that the company has categorized as “one of the most challenging periods for investors in the last 10 years”, according to UBS CEO Ralph Hamers.