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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If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

August 12, 2022
SEC Charges J.P. Morgan, UBS, and TradeStation for Deficiencies Pertaining to the Prevention of Customer Identify Theft

The Securities and Exchange Commission (SEC) has charged J.P. Morgan Securities, UBS Financial Services, and TradeStation Securities over deficiencies in their programs designed to prevent client identify theft, which violates the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID.

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).