August 2023 – Page 3 Of 20 – Investment Fraud Lawyers

Understanding FINRA Arbitrator Compensation: Honorarium and Payment Structure

Have you ever wondered how FINRA arbitrators are compensated for their services provided? It’s a fact that the Financial Industry Regulatory Authority (FINRA) pays an honorarium to these professionals from fees collected from dispute resolution parties. This blog post will break down the details of this compensation system, including hearing and decision-making fees, chairperson duties, […]

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Cohen & Steers MLP Income and Energy Opportunity Fund (MIE)

The History and Acquisition of Neuberger Berman by Lehman Brothers

We’ve all heard of Lehman Brothers and its infamous bankruptcy, but less well-known is the story of Neuberger Berman, a firm they acquired just before their collapse. Did you know that this 1939 family-founded company became part of Lehman Brothers in a deal valued at $2.6 billion in 2003? Through exploring the history and acquisition

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Understanding the Role of CRD in Broker-Dealer Registration

Are you struggling to navigate the complicated world of broker-dealer registration? You should know that the Central Registration Depository (CRD) plays an instrumental role in this process. This article will unravel the complexities and functions of CRD, shedding light on how it streamlines the registration process, provides access to crucial information, and guarantees transparency within

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Sue Financial Advisor, Investment Fraud Lawyers

Alleged Financial Misconduct by Joseph Roop with Dempsey Lord Smith and Coppell Advisory

It’s a serious matter when an allegation of financial misconduct comes to light. In this case, the allegation is against Joseph Roop, a financial advisor associated with Dempsey Lord Smith, LLC and Coppell Advisory Solutions LLC. The charges leveled against him include negligence, breach of fiduciary duty, breach of contract, misrepresentations, and violations of the

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Pending Dispute Against Eric Anderson and NYLIFE Securities LLC

Customer Dispute Pending: A Serious Allegation Against Eric Anderson and NYLIFE SECURITIES LLC On June 15th, 2023, a customer dispute was registered, putting Eric Anderson and NYLIFE SECURITIES LLC in the spotlight. The customer alleges that during 2022 and January 2023, her specific instructions were not followed. Furthermore, she claims that her portfolio was not

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