News & Updates

SEC Accuses Former Morgan Stanley Advisor of Defrauding Clients

The Securities and Exchange Commission (SEC) has filed fraud charges against Jesus Rodriguez, accusing him of misappropriating nearly $3.5 milli...

Trust Wave Receives Martindale-Hubbell 2024 Judicial Edition Rec...

Trust Wave� recently received the highest possible Martindale-Hubbell AV rating in their 2024 Judicial Edition.�

J.P. Morgan Securities Settles $18 Million SEC Case Over Whistleblower V...

J.P. Morgan Securities faced a significant penalty as it settled charges brought by the Securities and Exchange Commission (SEC) regarding actio...

Chicago FINRA Arbitrators Award Ten Former Financial Advisors Over $3 Mi...

Ten former Morgan Stanley financial advisors have been awarded over $3 million related to the firm’s wrongful forfeiture of the advisors&r...

Philadelphia Father-Son Advisory Team Awarded Half-Million Dollars in De...

A Philadelphia-based father-son advisory team has won a significant victory in a FINRA arbitration case against their former firm, Woodbury Fina...

TIAA Settles SEC Charges for Violating Reg BI

The Teachers Insurance and Annuity Association of America (TIAA) has agreed to a $2.2 million settlement with the Securities and Exchange Commis...

Investors Navigate Illiquidity in Venture Funds Through Secondary Deals

The Wall Street Journal reports that the current sluggishness in the venture market has left many investors in venture funds grappling with illi...

FINRA's Year-End Enforcement Blitz: LPL Financial and Interactive Broker...

The Financial Industry Regulatory Authority Inc. (FINRA) concluded the year with significant penalties against two major firms, LPL Financial an...

SEC Charges Individuals in $1.7 Billion Crypto Pyramid Scheme

The Securities and Exchange Commission (SEC) has filed charges against Xue Lee (aka Sam Lee) and Brenda Chunga (aka Bitcoin Beautee) for their i...

FINRA Set to End Temporary Remote Inspection Relief with New Rules

The Financial Industry Regulatory Authority (FINRA) announced that it will conclude its temporary relief from in-person inspection requirements,...

SEC Accuses Former Morgan Stanley Advisor of Defrauding Clients

The Securities and Exchange Commission (SEC) has filed fraud charges against Jesus Rodriguez, accusing him of misappropriating nearly $3.5 milli...

Attorney Eccleston Receives Martindale-Hubbell 2024 Judicial Edition Rec...

Attorney James Eccleston� recently received the highest possible Martindale-Hubbell AV rating in their 2024 Judicial Edition.�

J.P. Morgan Securities Settles $18 Million SEC Case Over Whistleblower V...

J.P. Morgan Securities faced a significant penalty as it settled charges brought by the Securities and Exchange Commission (SEC) regarding actio...

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