Report 6/19/17

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 …

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Customer Claims Against JP Morgan

Investment Fraud Investigation: Customer Claims Against JP Morgan

Securities Arbitration and Investment Litigation Lawyers with multiple law firms are investigating customer claims against JP Morgan 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 …

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Will the Recent Election Impact Your Investment Portfolio?

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 …

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Finra Investors Bad Brokers

Is FINRA Doing Enough to Steer Finra Investors Bad Brokers

Recently, there has been a debate about whether the securities industry is doing enough to get rid of bad brokers. People are also wondering if U.S. regulators are doing everything possible to accomplish the same goal. The core of the argument is based on some recent studies that have been released, which reveal a higher …

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broker fraud

Broker Fraud – FINRA Bans Winston Wade Turner for Deceptive Variable Annuity Practices

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 …

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VNA & Hospice Foundation’s Planned Giving Committee’s Advisory Council

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 …

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Markets Hit Record Highs, But How Confident Are You

Make sure your financial advisor and their firm accurately reflect your risk tolerance. With recent volatility and an 800 point market drop in the immediate aftermath of Brexit, just a few weeks later and it looks like nothing but a blip on the radar screen. Since the Brexit vote results were announced, we saw an …

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