Tagged with "recent case"

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

Posted on April 14th, 2021 at 3:55 PM
Just Saying “No” to Firm-Provided and Conflicted Legal Counsel in Your Transition may avoid problems later

Our recently filed court case of Armstrong and Kiefner vs. Shumaker, Loop & Kendrick, and Michael Taaffe alleges behavior that financial advisors should be aware of in considering whether or not they should have agreed to be represented by legal counsel selected/referred by their new firm in connection with their employment transition.

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I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

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LATEST NEWS AND ARTICLES

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).

September 19, 2023
Reg BI Violations Lead to FINRA's Fine on Another Broker-Dealer

The Financial Industry Regulatory Authority (FINRA) has fined and censured broker-dealer Network 1 Financial Securities and its chief compliance officer for violating Regulation Best Interest (Reg BI).

September 18, 2023
Troubles at an Arizona Park Funded by Municipal Bonds Are a Warning to Investors

The recent financial troubles at a sports arena in Mesa, Arizona, demonstrate that not all municipal bonds are equally safe.