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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • 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
    • Form U5 Claims
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Investor Notice: GWG L Bonds
    • 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

FINRA hires firm to conduct independent review of arbitrator selection process

On Behalf of Lewitas Hyman PC | Feb 28, 2022 | FINRA Compliance

The Financial Industry Regulatory Authority announced that it has hired a law firm to conduct an independent review of its procedures for selecting arbitrators in a recent court case, InvestmentNews reports.

SEC charges 12 more firms for failing to meet Form CRS requirements

On Behalf of Lewitas Hyman PC | Feb 25, 2022 | Securities and Compliance

The Securities and Exchange Commission took enforcement action against 12 financial firms for failing to meet their obligations in delivering Form CRS to their retail investors, according to AdvisorNews.

Actor sentenced to 20 years in prison for running $650 million Ponzi scheme

On Behalf of Lewitas Hyman PC | Feb 24, 2022 | Financial Advisor Misconduct

An actor charged with defrauding investors out of at least $650 million in a Ponzi scheme has been sentenced to 20 years in federal prison, Think Advisor reports.

FINRA arbitrators rule in favor of brokers in Credit Suisse deferred compensation case

On Behalf of Lewitas Hyman PC | Feb 23, 2022 | Firm Transition

A panel of Financial Industry Regulatory Authority arbitrators ruled in favor of a group of former Credit Suisse Securities brokers in a dispute with the firm, InvestmentNews reports.

FINRA arbitrators hold UBS liable for nearly $1.9 million over YES investment product

On Behalf of Lewitas Hyman PC | Feb 22, 2022 | FINRA Compliance

A Financial Industry Regulatory Authority arbitration panel has ruled against UBS Financial in a case involving its investment strategy known as Yield Enhancement Strategy (YES), Financial Advisor reports.

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  • Advisor Group firms ordered to pay restitution to clients over 529 plan rollovers
  • Wisconsin adviser charged with defrauding clients out of $1.9 million
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  • Former broker barred by FINRA for false statements about outside CBD business

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