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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
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    • 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 proposes identifying “restricted firms” on BrokerCheck records

On Behalf of Lewitas Hyman PC | Jul 29, 2022 | FINRA Compliance

The Financial Industry Regulatory Authority has proposed publicly identifying broker-dealers designated as “restricted firms” on their BrokerCheck reports, according to Financial Advisor. FINRA has submitted its proposal to the Securities and Exchange Commission for...

Bank of America to pay $200 million fine over unauthorized use of personal devices

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

Bank of America Corp. is facing a financial penalty as part of an investigation by regulators into the unauthorized use of personal devices, reports AdvisorHub. The Securities and Exchange Commission has been conducting a probe of various financial institutions...

SEC orders UBS to pay $25 million over fraud charges from YES strategy

On Behalf of Lewitas Hyman PC | Jul 27, 2022 | Investment Loss

UBS Financial Services has agreed to pay about $25 million to settle charges stemming from a complex options strategy that has been the subject of numerous disputes, the Securities and Exchange Commission has announced. The SEC filed fraud charges against the company...

Reg B1 claims among FINRA’s list of most cited violations

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

The Financial Industry Regulatory Authority’s list of top arbitration categories now includes Regulation Best Interest (Reg B1) claims for the first time, according to a report by Financial Advisor. The Securities and Exchange Commission adopted Reg B1 establishing a...

24 Republican attorneys general take issue with SEC climate disclosure rules

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

A group of 24 Republican attorneys general have joined together in opposition to the Securities and Exchange Commission’s proposed climate change disclosure rules, Financial Advisor reports. The attorneys general submitted comments to the SEC calling the rules...

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  • 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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