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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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FINRA arbitrators deny claim brought against UBS over YES strategy

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

UBS Wealth Management USA has won an arbitration case in the latest dispute over its investment strategy known as Yield Enhancement Strategy (YES), according to AdvisorHub. A panel of Financial Industry Regulatory Authority arbitrators sided with UBS in a complaint...

Barred NY investment broker indicted on stock fraud charges

On Behalf of Lewitas Hyman PC | Mar 24, 2023 | Broker Misconduct

Prosecutors announced the indictment of a barred New York investment broker accused of stealing from clients in a stock fraud scheme, reports InsuranceNewsNet. 57-year-old Peter Quartararo of Glen Cove, Long Island was arraigned earlier this month on five counts of...

SEC updates list of firms using misleading information to solicit investors

On Behalf of Lewitas Hyman PC | Mar 23, 2023 | Regulatory Investigations

The Securities and Exchange Commission announced its latest step aimed at protecting investors by issuing an update to its list of Public Alert: Unregistered Soliciting Entities (PAUSE) The PAUSE Program lists firms that falsely claimed to be registered, licensed,...

Former Goldman Sachs banker sentenced to 10 years in bribery, embezzlement case

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

A former banker for Goldman Sachs has been sentenced to prison after being convicted of helping to embezzle billions of dollars from Malaysia’s 1MDB development fund, reports Financial Advisor. 51-year-old Roger Ng was sentenced last week in federal court to 10 years...

CFP Board imposes interim suspension on Pennsylvania financial advisor

On Behalf of Lewitas Hyman PC | Mar 21, 2023 | CFP Board

The Certified Financial Planner Board of Standards has imposed an interim suspension on a Pennsylvania financial advisor. The CFP Board announced that Kenwyn J. Belkot had his right to use the CFP® certification marks suspended effective as of February 1, 2023. The...

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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

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