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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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Chicago UBS broker wins arbitration case expunging complaints from record

On Behalf of Lewitas Hyman PC | Feb 28, 2023 | Expungement Claims

A Chicago broker attempting to have investor complaints expunged from his record has won his arbitration claim, according to AdvisorHub. The broker, David A. Hirsch, has been with UBS Wealth Management USA since 2016. The case involved UBS’s complex options strategy...

Former official with Philadelphia lending firm pleads guilty to defrauding investors

On Behalf of Lewitas Hyman PC | Feb 27, 2023 | Financial News

A former official with a Pennsylvania company has pleaded guilty to what authorities say was a scheme to bilk investors, according to InsuranceNewsNet. 65-year-old Perry Abbonizio of Collegeville appeared in federal court last week to enter the plea to a conspiracy...

Former Texas CEO accused of diverting millions from firm for personal benefit

On Behalf of Lewitas Hyman PC | Feb 24, 2023 | Investment Loss

A Texas executive was charged with defrauding investors and using some of the proceeds for his own personal benefit, Insurance News Net reports. 35-year-old Christopher Kirchner of Westlake was the co-founder and CEO of Slync Inc., a supply-chain management software...

SEC charges man in scheme to spread false rumors about public companies

On Behalf of Lewitas Hyman PC | Feb 23, 2023 | Investment Loss

The Securities and Exchange Commission announced that a Georgia man has been charged with being part of an illicit trading scheme that involved spreading false rumors about public companies. The defendant was identified as Milan Vinod Patel of Cumming, Georgia, the...

SEC bars former broker-dealer for defrauding pension plans out of $43M

On Behalf of Lewitas Hyman PC | Feb 22, 2023 | Regulatory Investigations

A former California broker-dealer was barred by the Securities and Exchange Commission over his involvement in a scheme to defraud various pension plans, Financial Advisor reports. The SEC took the enforcement action against 50-year-old Jason Sugarman of Los Angeles,...

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  • CFP Board imposes interim suspension on Pennsylvania financial advisor

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