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

FINRA releases report to assist firms with compliance and risk monitoring

On Behalf of Lewitas Hyman PC | Jan 31, 2023 | Regulatory Investigations

The Financial Industry Regulatory Authority has released its 2023 report on its examination and risk monitoring program, which is aimed at helping member firms bolster their compliance efforts. In a news release, FINRA said the comprehensive report reflects its...

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

On Behalf of Lewitas Hyman PC | Jan 30, 2023 | Regulatory Investigations

A former broker for Advisor Group’s Woodbury Financial who made false statements about her outside business activities has been barred by the Financial Industry Regulatory Authority, ThinkAdvisor reports. The case involves broker Suzanne Charrin and her involvement in...

SEC awards $18 million to 3 whistleblowers for assistance in enforcement action

On Behalf of Lewitas Hyman PC | Jan 27, 2023 | Regulatory Investigations

The Securities and Exchange Commission announced the latest awards in its whistleblower program, which provides monetary payments to eligible individuals who come forward with information about securities fraud or other wrongdoing. Three whistleblowers will be...

Massachusetts adviser sentenced to prison for stealing from his clients

On Behalf of Lewitas Hyman PC | Jan 26, 2023 | Financial Advisor Misconduct

A Massachusetts investment adviser who pleaded guilty to defrauding his clients and stealing from them has been sentenced to prison, according to InsuranceNewsNet. A federal judge sentenced 42-year-old James Kenneth Couture of Sutton to 100 months behind bars and...

CFP Board announces sanctions against 12 financial planners

On Behalf of Lewitas Hyman PC | Jan 25, 2023 | CFP Board

The Certified Financial Planner Board of Standards has announced public sanctions against 12 current or former CFP® professionals who were found to have violated the profession’s ethical standards. The CFP Board’s sanctions, in order of increasing severity, included...

« 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