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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

Wells Fargo ordered to pay nearly $1 million to former broker in deferred compensation dispute

On Behalf of Lewitas Hyman PC | May 31, 2022 | Financial News

A former broker for Credit Suisse has won compensatory damages from two units of Wells Fargo in a dispute over deferred compensation, according to ThinkAdvisor. Anthony Aris Dertouzos had failed a claim against Wells Fargo Advisors and Wells Fargo Clearing Services in...

Companies terminating reps in move to avoid FINRA’s ‘Restricted Firm’ designation

On Behalf of Lewitas Hyman PC | May 30, 2022 | FINRA Compliance

Broker-dealers are taking steps to avoid the designation of “Restricted Firm” that could be imposed by a new Financial Industry Regulatory Authority rule, according to Financial Advisor. Under Rule 4111, which took effect Jan. 1, firms with a significant history of...

SEC charges firm with deceiving investors in stock fraud scheme

On Behalf of Lewitas Hyman PC | May 27, 2022 | Financial News

The Securities and Exchange Commission has charged a Florida-based firm with fraud for securities violations that deceived thousands of investors, the commission announced in a news release. The SEC filed a complaint in federal district court in Manhattan against...

FINRA approves revised proposal for roster of expungement arbitrators

On Behalf of Lewitas Hyman PC | May 26, 2022 | FINRA Compliance

The Board of Governors for the Financial Industry Regulatory Authority has approved revisions to its plan to reform the process for brokers expungement requests, according to ThinkAdvisor. The goal of FINRA’s plan is to create a special roster of arbitrators with...

SEC sanctions First Republic Bank over conflict in revenue sharing arrangement

On Behalf of Lewitas Hyman PC | May 25, 2022 | Financial News

The Securities and Exchange Commission said it has ordered First Republic Investment Management (FRIM) to pay a penalty of over $1.8 million due to alleged violations regarding a revenue sharing agreement, AdvisorHub reports. According to the SEC’s administrative...

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  • Former broker barred by FINRA for false statements about outside CBD business

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