On behalf of Lewitas Hyman PC | Aug 14, 2017 | Broker Misconduct, Financial Advisor Misconduct
Do you know how to spot Ponzi Schemes? Are you aware of the warning signs? Recently, a Long Island firm lied to investors about having connections to Jay Z’s entertainment company, Roc Nation, and allegedly defrauded investors out of $70 million. More details can be...
On behalf of Lewitas Hyman PC | Feb 10, 2016 | Broker Misconduct, Financial Advisor Misconduct
By: Lewitas Hyman PC Since the 2008/2009 financial crisis, many former financial advisors, portfolio managers and investment adviser representatives have elected to branch out on their own and serve as independent investment advisers. Often times, these investment...
On behalf of Lewitas Hyman PC | Apr 20, 2015 | Broker Misconduct, Financial Advisor Misconduct, Investment Loss
FINRA and the SEC’s Office of Compliance Inspections and Examinations (OCIE) (collectively, the “Staff”) released the National Senior Investor Initiative (the “Report”) cautioning broker-dealers to reexamine their policies and procedures related to senior investors 65...
