Lewitas Hyman PC
  • 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
  • CONTACT

Discuss Your Matter With An Attorney
(888) 655-6002

Lewitas Hyman PC
Based in Chicago. Nationwide Representation in Securities Law Matters.

Contact Us:  (888) 655-6002

  • 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
  • CONTACT

Massachusetts advisor pleads guilty to defrauding clients out of $3.5 million

On Behalf of Lewitas Hyman PC | Oct 31, 2022 | Financial Advisor Misconduct

A Massachusetts financial advisor has pleaded guilty to misappropriating millions of dollars of his clients’ funds for his own use, according to InsuranceNewsNet. 55-year-old Steven Xigoros of Lowell was arrested and indicted on the charges by a federal grand jury in...

Alaska man ordered to pay restitution for swindling investors

On Behalf of Lewitas Hyman PC | Oct 28, 2022 | Investment Loss

An Alaska man has been accused of engaging in a scheme that defrauded dozens of investors in the state from 2017 through 2022, reports InvestmentNews. The Alaska Division of Banking and Securities issued an interim temporary cease and desist order against Tycoon...

FINRA fines Raymond James broker-dealers $1.1 million for compliance failures

On Behalf of Lewitas Hyman PC | Oct 27, 2022 | FINRA Compliance

Two broker-dealers affiliated with Raymond James Financial Inc. have been fined for alleged rule violations, according to InvestmentNews. The Financial Industry Regulatory Authority announced the fines, totaling $1.1 million, in a letter of Acceptance, Waiver and...

Former Illinois financial advisor ordered to pay over $815K for defrauding clients

On Behalf of Lewitas Hyman PC | Oct 26, 2022 | Financial Advisor Misconduct

The Securities and Exchange Commission obtained a final judgment against a former Illinois financial advisor who was charged with defrauding his clients, Financial Advisor reports. Under the judgment entered in federal court, 61-year-old Ronald Molo of Shorewood,...

SEC adopts rule amendments to modernize preservation of electronic records

On Behalf of Lewitas Hyman PC | Oct 25, 2022 | Regulatory Investigations

The Securities and Exchange Commission is taking steps to modernize the process of electronic recordkeeping by broker-dealers and security-based swap dealers, according to a report by ThinkAdvisor. The SEC voted last week to adopt amendments to its rules pertaining to...

« Older Entries

Recent Posts

  • FINRA arbitrators deny claim brought against UBS over YES strategy
  • Barred NY investment broker indicted on stock fraud charges
  • SEC updates list of firms using misleading information to solicit investors
  • Former Goldman Sachs banker sentenced to 10 years in bribery, embezzlement case
  • CFP Board imposes interim suspension on Pennsylvania financial advisor

Archives

  • March 2023
  • February 2023
  • January 2023
  • December 2022
  • November 2022
  • October 2022
  • September 2022
  • August 2022
  • July 2022
  • June 2022
  • May 2022
  • April 2022
  • March 2022
  • February 2022
  • January 2022
  • December 2021
  • November 2021
  • October 2021
  • September 2021
  • August 2021
  • February 2021
  • August 2020
  • May 2020
  • April 2020
  • March 2020
  • August 2017
  • July 2017
  • June 2017
  • March 2017
  • February 2017
  • January 2017
  • December 2016
  • November 2016
  • October 2016
  • July 2016
  • March 2016
  • February 2016
  • January 2016
  • October 2015
  • July 2015
  • June 2015
  • May 2015
  • April 2015
  • March 2015
  • February 2015
  • January 2015
  • December 2014
  • October 2014
  • September 2014
  • August 2014
  • July 2014
  • June 2014
  • May 2014
  • April 2014

Categories

  • Broker Misconduct
  • CFP Board
  • Expungement Claims
  • Financial Advisor Misconduct
  • Financial News
  • FINRA Compliance
  • Firm News
  • Firm Transition
  • Insider Trading
  • Investment Loss
  • Market Volatility
  • Regulatory Investigations
  • Securities and Compliance

RSS Feed

Subscribe To This Blog’s Feed

FindLaw Network

Contact Our Firm 

Superior Results
—
Individual Attention

Chicago Office

161 N Clark St
Suite 1600
Chicago, IL 60601

Chicago Law Office

Contact Us

Phone: (888) 655-6002

Fax: (312) 281-9019

  • Follow
  • Follow

© 2023 Lewitas Hyman PC • All Rights Reserved

Disclaimer | Site Map | Privacy Policy | Business Development Solutions by FindLaw, part of Thomson Reuters