The Securities and Exchange Commission is proposing new rules and amendments aimed at protecting the financial industry from cybersecurity threats.
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: February 2022
Judge sides with Edward Jones in retaliation lawsuit filed by advisor
A federal judge in Texas sided with Edward Jones after a former broker who had been discharged filed a retaliation lawsuit against the firm, reports AdvisorHub. Emilio Lira claimed that he was wrongfully terminated in 2019 for reporting what he said were civil rights...
CFP Board releases three new guides to help CFP professionals
The Certified Financial Planner Board of Standards announced it has released three new guides to help certified financial planning professionals fulfill their obligations that are specified under the board’s Code of Ethics and Standards of Conduct. The resources cover...
Former J.P. Morgan advisor awarded $1.4 million over defamation claim
A Financial Industry Regulatory Authority arbitration panel ruled in a favor of a former J.P. Morgan Chase advisor in his defamation claim against the company, AdvisorHub reports. The decision came in the case of Dustin B. Luckett, who was awarded $1.4 million by the...
CFP Board imposes interim suspensions against 2 CFP professionals
The Certified Financial Planner Board of Standards has imposed interim suspensions against two CFP professionals, the board announced in a news release last week. Both had their rights to use the CFP® certification marks suspended. In one case, the board issued an...
