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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
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FINRA orders National Securities to pay $9 million for alleged regulatory violations

On Behalf of Lewitas Hyman PC | Jun 30, 2022 | Financial News

The Financial Industry Regulatory Authority announced that it has fined National Securities Corporation (NSC) $9 million for alleged regulatory violations, according to InvestmentNews. Among other things, the firm was accused of attempting to artificially influence...

SEC charges Rochester with misleading investors in school district bond offering

On Behalf of Lewitas Hyman PC | Jun 29, 2022 | Financial News

The city of Rochester, New York, its municipal advisor, and several former officials have been charged with misleading investors about the finances of its school system, the Securities and Exchange Commission announced. The defendants include the city, former finance...

Former Credit Suisse broker wins nearly $2.2 million in deferred compensation case

On Behalf of Lewitas Hyman PC | Jun 28, 2022 | Financial News

A former broker for Credit Suisse has won his arbitration case against the firm in a dispute involving deferred compensation, reports AdvisorHub. A Financial Industry Regulatory Authority panel awarded nearly $2.2 million to David R. Barnes, who said Credit Suisse...

Former employee of online gambling company charged by SEC with insider trading

On Behalf of Lewitas Hyman PC | Jun 27, 2022 | Insider Trading

A former employee of a Pennsylvania-based online gambling company has been charged with insider trading, the Securities and Exchange Commission announced. The SEC filed a complaint in federal district court against David Roda of Philadelphia, a former software...

SEC requests public comment on information providers acting as investment advisers

On Behalf of Lewitas Hyman PC | Jun 24, 2022 | Financial News

The Securities and Exchange Commission is seeking public comment on whether “information providers”, including index providers, model portfolio providers, and pricing services, would fall under the definition of an investment adviser under the Investment Advisers Act...

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Recent Posts

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  • Former Goldman Sachs banker sentenced to 10 years in bribery, embezzlement case
  • CFP Board imposes interim suspension on Pennsylvania financial advisor
  • FINRA fines Webull Financial $3 million over approval of customers for options trading
  • Virginia financial advisor charged with defrauding investors and clients

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