JP Morgan recently reported financial earnings, and it seems like a distant memory that in December 2015, JP Morgan paid a $267 million fine to the SEC. The SEC Press Release refers to improper disclosures to customers as well as improper efforts by employees of JP Morgan to steer customer investments into proprietary mutual funds and […]
JP Morgan Investment Loss? Read More »
U.S. financial advisors will now be required to put their clients’ best interests before their own profits. This new law is known as the Department of Labor’s (DOL’s) fiduciary rule or standard. FINRA is now holding this standard. Prior to this rule, financial advisors were not required to put their clients’ financial interests first. They
Fiduciary Rule Equalizes System For Clients, Financial Advisors Read More »
In an article in the Wall Street Journal on Wednesday, June 22, 2016, it was announced that the Securities and Exchange Commission (SEC) is preparing a civil enforcement action against sec Merrill Lynch relating to the issuance of structured products investments in 2010. A structured product (oftentimes referred to as a structured note) is a
SEC Prepares Civil Enforcement Action Against SEC Merrill Lynch Read More »
The securities arbitration and investment litigation group is currently investigating cases relating to client investments in SunEdison, Inc. (SunEdison Ticker Symbol: SUNE), one of the nation’s largest providers of electricity and renewable energy, which announced on April 21, 2016, that it has filed for Chapter 11 Bankruptcy. In a press release, SunEdison stated that its
The Sun has Set at SunEdison – The Company is Bankrupt! Read More »
Many investors shrug off losses due to market conditions, when it may be the fault of their financial advisor or stockbroker. A great way to recover losses is through mediation using an investment fraud lawyer. A FINRA mediation allows for a fast settlement of claims recovery of losses for investors. FINRA Mediation vs. Arbitration To
How to Recover Financial Advisor Losses With Mediation Read More »