In Financial Advisor IQ, on 6/14/17, it was reported that a former Morgan Stanley financial consultant was the subject of a securities regulatory action by the Financial Industry Regulatory Authority (FINRA) alleging that he had concealed losses in a client’s investment account. According to the article, FINRA alleged that Kim Dee Isaacson had misrepresented the […]
FORT LAUDERDALE, Fla., March 07, 2017 (GLOBE NEWSWIRE) The securities arbitration and investment litigation lawyers, The Law Firm of David R. Chase, P.A., and Silver Law Group are investigating JP Morgan for excessive and/or improperly disclosed fees in proprietary investments and managed accounts. At least one FINRA arbitration case against J.P. Morgan Securities LLC has
Investment Fraud Investigation: Customer Claims Against JP Morgan Read More »
As of now it is pure speculation as to what (if any) policies the new administration might offer could serve to impact investor portfolios. As a recent presidential candidate, Donald Trump has made reference to a market bubble and plenty of commentators have noted that a rise in interest rates could potentially result in a
Will the Recent Election Impact Your Investment Portfolio? Read More »
The Financial Industry Regulatory Authority (FINRA) has banned broker fraud Winston Wade Turner from the securities industry for allegedly making deceptive recommendations to clients concerning variable annuities, and for the deceptive disclosure of his recommendations to his company’s supervisory board. Turner, a former Pruco Securities and Metlife registered broker, is accused by FINRA of misrepresenting
Broker Fraud – FINRA Bans Winston Wade Turner for Deceptive Variable Annuity Practices Read More »
Matthew Thibaut and Jason Haselkorn were appointed to the VNA & Hospice Foundation’s Planned Giving Committee’s Advisory Council in Vero Beach, FL. VNA’s mission is to provide compassionate, innovative care of the highest quality, setting the standard for patients and caregivers needing home health, hospice and community health services. In addition, Matthew Thibaut was appointed
VNA & Hospice Foundation’s Planned Giving Committee’s Advisory Council Read More »