Tagged with "reinstatement"

Wells Fargo Ordered to Pay a Former Broker $180,000

Posted on December 23rd, 2016 at 9:14 AM
Wells Fargo Ordered to Pay a Former Broker $180,000

A panel of FINRA arbitrators has ordered Wells Fargo to pay a former rep named Shannon M. Powers damages stemming from a counterclaim in which she asserted breach of contract, disability discrimination, failure to accommodate, failure to prevent discrimination and retaliation in violation of California law.

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I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.


October 20, 2021
5 First-of-Their-Kind SEC Enforcement Actions Announced

Securities and Exchange Commission (SEC) Enforcement Director Gurbir Grewal recently discussed notable first-of-their-kind enforcement actions that his division has pursued.

October 19, 2021
FINRA Targets SPACs in Most Recent Exam Sweep

The Financial Industry Regulatory Authority (FINRA) has begun an examination sweep of advisors’ involvement with special purpose acquisition companies (SPACs).

October 18, 2021
SEC’s Statement on Complex Exchange-Traded Products

The Securities and Exchange Commission (SEC) recently voted to approve a pair of rule changes proposed by Cboe BZX Exchange, Inc. to list and trade shares of new exchange traded-products: the 2x Long VIX Futures ETC and the -1x Short VIX Futures ETF.