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…
Morgan Stanley terminated around ten brokers following a nationwide probe of alleged abuses in its inherited account program, according to lawyers, firm sources and former managers per advisor Hub. Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Morgan Stanley who are victims of, and suffered damages and losses,…
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…
Securities Experts Roundtable The Expert’s Examiner Stifel, Nicolaus & Co. v. Stern, No. 1:20-cv-00005 (D. Md. Mar. 31, 2020). September 6, 2020 We reach back in time a bit to present this Explained Award, but for good reason, we think. First, it’s still timely, in that a post-Award challenge…
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 allegations of fraud against Stephen Douglas Pizzuti in connection with an SEC settlement. According to the settlement posted on www.sec.gov “Pizzuti (CRD 1461660), age 58, is a resident of DeBary, Florida. At the time of the misconduct that led to his…