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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
  • CONTACT

Former employee pleads guilty to stealing over $500K from NY investment firm

On Behalf of Lewitas Hyman PC | Nov 30, 2022 | Investment Loss

A former employee of a New York investment advisory firm has admitted to stealing from the company and its clients, according to InsuranceNewsNet. Federal prosecutors announced that 47-year-old Jennifer Campbell of Niagara Falls pleaded guilty to a single count of...

SEC announces 9% increase in enforcement actions for fiscal year 2022

On Behalf of Lewitas Hyman PC | Nov 29, 2022 | Securities and Compliance

The Securities and Exchange Commission has issued a report on its enforcement results for the fiscal year 2022. In a news release, the SEC said it had filed a total of 760 enforcement actions for the year, a 9 percent increase from fiscal year 2021. The commission...

CFP Board proposes time limit to file for reinstatement after suspension order

On Behalf of Lewitas Hyman PC | Nov 28, 2022 | CFP Board

The Certified Financial Planner Board of Standards is proposing several changes to its procedural rules to reform elements of its enforcement process, according to InvestmentNews. The board released the changes last week for public comment, setting January 23, 2023 as...

FINRA suspends former Merrill Lynch broker over outside business activities

On Behalf of Lewitas Hyman PC | Nov 25, 2022 | Broker Misconduct

The Financial Industry Regulatory Authority has suspended and fined a former broker for Merrill Lynch who was discharged from the firm over his outside business activities, AdvisorHub reports. FINRA announced the action against Christopher T. Eriksson, who was based...

Former Wells Fargo broker barred in case involving unreturned funds

On Behalf of Lewitas Hyman PC | Nov 23, 2022 | Financial News

A former broker for Wells Fargo Advisors has been barred from the industry in a case involving money he was paid in error, according to AdvisorHub. The Financial Industry Regulatory Authority took the action against Bruce L. Davis of Sacramento, California. He was...

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  • CFP Board imposes interim suspension on Pennsylvania financial advisor

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