According to Advisor Hub and FINRA Website, in a decision overturning an arbitration award, a Georgia state court judge vacated an Arbitration decision in which Wells Fargo successfully beat an investor’s $1.7 million damage claims over investment losses. According to the Order, Judge Belinda E. Edwards based her ruling in…
Miller Stern Lawyers – 410-Law-Firm is currently investigating for clients of former Morgan Stanley broker Barry F. Connell and all firms and broker dealers who may be victims of, and suffered damages and losses, due to abuses such fraud, mutual fund abuses, unsuitable mutual fund investments and failure to supervise, breach…
Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Ex Ameriprise Broker Angel Bardeche CRD4698117 and all firms and broker dealers who may be victims of, and suffered damages and losses, due to abuses such as flipping “A” Shares, mutual fund abuses, unsuitable mutual fund investments and failure to…
FINRA fined a small independent broker-dealer in California $35,000 for failing to adequately conduct background investigations on registered reps and for failing to obtain regulatory pre-approval for a seven-month growth spurt, according to Advisor Hub. Infinity Financial Services, an Oakland, CA-based firm founded 13 years ago by a former Merrill…
Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Merrill Lynch and Charles Kenahan and Dermond Cavanaugh who are may be victims of, and suffered damages and losses, due to abuses such as churning, beach of fiduciary duty, overcharging , and unauthorized trading. According to CNBC and other new…
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…
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…