Onwallstreet.com on 6/29/17 reported that the SEC is now probing Morgan Stanley and Barclays bankers on Puerto Rico bonds and the SEC may take action for their roles in Puerto Rico bond sales before a worsening financial crisis sent Puerto Rico hurtling toward bankruptcy. If you are an investor who has suffered losses with Morgan […]
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
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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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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 »