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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
  • FINANCIAL PROFESSIONALS
    • FINRA, SEC and State Regulatory Investigations
    • Employment Counsel
    • Wrongful Discharge
    • Expungement Claims
    • Promissory and Forgivable Notes
    • Firm Transitions
    • CFP Board Investigations
    • Partnership Disputes
    • Broker Protocol FAQs
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Frequently Asked Questions About Investment Loss Matters
    • Financial Advisor Misconduct
    • Breach of Fiduciary and Other Duties
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

Investors Suffer Losses As Robinhood, Webull, TD Ameritrade And M1 Finance Restrict Trading

On behalf of Lewitas Hyman PC | Feb 1, 2021 | Financial News, Investment Loss

Investors suffer losses as brokerage firms like Robinhood, Webull, TD Ameritrade and M1 Finance restrict trading in Gamestop, AMC, Nokia and other stocks. Any investor that has followed the news in the past week has since the incredible rise of so-called “Reddit...

CFP Board Begins Enforcing New Code of Ethics and Standards of Conduct

On behalf of Lewitas Hyman PC | Aug 13, 2020 | CFP Board, Financial News

The CFP Board has begun to enforce its updated Code of Ethics and Standards of Conduct (“Code of Ethics and Standards”) that went into effect on October 1, 2019. The new Code of Ethics and Standards is the culmination of five years of work by the CFP Board to...

Claims Against UBS Yield Enhancement Strategy (YES) Continuing to Accelerate

On behalf of Lewitas Hyman PC | May 15, 2020 | Financial Advisor Misconduct, Financial News

As losses have continued to mount for investors, claims against UBS are accelerating. Recent reporting indicates that investment losses from the Yield Enhancement Strategy (YES) could exceed $1 billion as investors pursue legal action against the wealth management...

Listen Up Financial Advisors – The Cover-Up Is Always Worse Than The Crime

On behalf of Lewitas Hyman PC | May 12, 2020 | Regulatory Investigations

Every year, surveillance tools become increasingly sophisticated. As such, now more than ever, financial advisors are regularly flagged for potential violations of firm policy and/or regulatory rules. Transgressions may range from minor technicalities to violations...

Avoid Investment Losses by Recognizing the Signs of Financial Advisor Misconduct

On behalf of Lewitas Hyman PC | Apr 21, 2020 | Financial Advisor Misconduct

Investing involves risk. In many instances, portfolio losses to are simply the result of the inherent risks of investing. In other instances, losses may be due to misconduct by financial advisors and/or their firms. No matter what the underlying actions are, there are...

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Recent Posts

  • Investors Suffer Losses As Robinhood, Webull, TD Ameritrade And M1 Finance Restrict Trading
  • CFP Board Begins Enforcing New Code of Ethics and Standards of Conduct
  • Claims Against UBS Yield Enhancement Strategy (YES) Continuing to Accelerate
  • Listen Up Financial Advisors – The Cover-Up Is Always Worse Than The Crime
  • Avoid Investment Losses by Recognizing the Signs of Financial Advisor Misconduct

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