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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • Broker Protocol FAQs
    • CFP Board Investigations
    • Employment Counsel
    • Expungement Claims
    • FINRA, SEC and State Regulatory Investigations
    • FINRA Rule 8210 FAQs
    • Firm Transitions
    • Form U5 Claims FAQs
    • Partnership Disputes
    • Promissory and Forgivable Notes
    • Wrongful Discharge
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Breach of Fiduciary and Other Duties
    • Financial Advisor Misconduct
    • Investment Loss FAQs
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

FINRA Audits: What to Expect and How to Prepare

On Behalf of Lewitas Hyman PC | Aug 28, 2017 | FINRA Compliance, Regulatory Investigations

Did you know that FINRA conducts between 1,500 and 2,000 audits a year? The Financial Industry Regulatory Authority (“FINRA”) delivers audits and regulation services to the financial industry. As a Self-Regulatory Organization (“SRO”), FINRA works closely with the...

Why and When Registered Representatives Should Consider Seeking Expungement

On Behalf of Lewitas Hyman PC | Aug 21, 2017 | Expungement Claims

Expungement is the removal of certain disclosure events on a registered representative’s record – primarily customer complaints and arbitrations, and in some instances employment termination explanations. Once a disclosure event is expunged, it is no longer accessible...

Ponzi Schemes: 7 Warning Signs from the SEC

On Behalf of Lewitas Hyman PC | Aug 14, 2017 | Broker Misconduct, Financial Advisor Misconduct

Do you know how to spot Ponzi Schemes? Are you aware of the warning signs? A Long Island firm lied to investors about having connections to Jay Z’s entertainment company, Roc Nation, and allegedly defrauded investors out of $70 million. More details can be found here....

Advisors: Things to Consider when Transitioning Firms

On Behalf of Lewitas Hyman PC | Aug 7, 2017 | Firm Transition

Did You Know That Advisor Recruitment is at a Four-Year High? According to data compiled by On Wall Street, despite the recent decision by certain wirehouses to significantly reduce recruiting, recruitment is at a four-year high and remains strong. Recruiters say that...

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  • FINRA arbitrators deny claim brought against UBS over YES strategy
  • Barred NY investment broker indicted on stock fraud charges
  • SEC updates list of firms using misleading information to solicit investors
  • Former Goldman Sachs banker sentenced to 10 years in bribery, embezzlement case
  • CFP Board imposes interim suspension on Pennsylvania financial advisor

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