Tagged with "termination"

Boca Raton Financial Advisor Terminated by Morgan Stanley

Posted on February 18th, 2021 at 9:12 AM
Boca Raton Financial Advisor Terminated by Morgan Stanley

Morgan Stanley has removed a 31-year veteran who managed $959 million in client assets.

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Finra arbitration panel awards registered representative $417,000 for wrongful termination, defamation

Posted on December 22nd, 2016 at 10:32 AM
Finra arbitration panel awards registered representative $417,000 for wrongful termination, defamation

A Finra arbitration panel awarded $417,000 to a registered representative this week after finding she was wrongfully fired and defamed by her former firm.

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You were most helpful with my FINRA deposition. You are a good lawyer and a good person.

Dan B.

LATEST NEWS AND ARTICLES

June 14, 2024
Wells Fargo Fires Employees for Faking Work

Wells Fargo & Co. recently terminated over a dozen employees following an investigation into allegations of fake work activities.

June 13, 2024
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The Financial Industry Regulatory Authority’s (FINRA) attempt to update its rules on advisors’ outside business activities has stalled, according to Robert Colby, FINRA's chief legal officer.

June 12, 2024
Tax Court Denies Madoff Victims $8.2 Million Deduction

Victims of Bernie Madoff's Ponzi scheme, Christopher and Silvana Pascucci, cannot claim an $8.2 million tax deduction for their investment in life insurance premiums.