The Financial Industry Regulatory Authority (FINRA) has fined and suspended a former Cetera Advisors broker in Tucson, Arizona for failing to invest his customers’ funds in a way that would have qualified for mutual fund breakpoint discounts, according to a settlement finalized on Thursday and as reported on Advisor Hub…
NEW YORK (Legal Newsline) – Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Citigroup who are victims of, and suffered damages and losses in their pension funds, due to regulatory fines and penalties. A securities class action against Citigroup has been filed in New York federal court. Their plaintiff…
According to Advisor Hub, “Joseph Woitkoski, who was terminated by Raymond James Associates in 2018 after 20 years as a registered rep, was suspended for 30 days and fined $7,500 for allegedly making discretionary trades for 12 customers without their written authorizations, according to an acceptance, waiver and consent letter…
Miller Stern Lawyers, LLC 410- Law Firm is currently investigating claims against Financial Advisor Philip Rousseaux and Everest Wealth Management allegations of violations of various securities laws. According to the Daily Record, Investment adviser Philip Rousseaux is in another legal battle with his own lawyers this time, facing a lawsuit seeking…
According to Advisor Hub customer complaints and litigation against brokerages will be heating up with the market turmoil. Most of the industry will likely conclude that coronavirus pandemic fears and oil wars between Russia and Saudi Arabia are the cause of the market drop and are totally out of anyone one…
Miller Stern Lawyers, LLC. is currently investigating allegations against Hebert Hafen CRD#867068 for financial losses for any of the reasons stated bellow as well as others for individuals doing business with Mr. Hafen at any of the institutions e worked for or with. If you or anyone you know lost…
Litigation Release No. 24749 / February 27, 2020 SEC v. Nicholas Lattanzio et al., 2:15-cv-03883 (D.N.J.) Sources have confirmed to Miller Stern Lawyers, LLC, from local news wires and SEC confirm that The Securities and Exchange Commission has obtained a final judgment against defendant Nicholas Lattanzio, a hedge fund manager…
Miller Stern Lawyers, LLC and other law firms are currently investigating potential violations of several federal securities laws by Bed Bath & Beyond Inc.’s (NASDAQ: BBBY) regarding the company’s preliminary earnings report and the dip in shares right after the release. It has been reported on various news wires that…
Miller Trial Law is investigating and litigating against Stifel, Nicolaus & Company, Incorporated and former financial advisor Coleman Devlin (CRD# 2317635) and current financial advisor Kenneth Blumberg (CRD# 1585520) pertaining to a multitude of allegations including taking discretion in customer accounts without authority, over-concentration in sectors and individual securities, breach of fiduciary duty,…