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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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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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