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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

Credit Suisse attempts to overturn arbitration ruling in favor of ex-broker

On Behalf of Lewitas Hyman PC | Mar 9, 2023 | Financial News

Credit Suisse Group AG is going to court to fight a recent arbitration ruling that went in favor of one of its former brokers, reports AdvisorHub. Last month, a panel of Financial Industry Regulatory Authority arbitrators awarded $1.3 million to James D. Garrity, who...

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...

Wells Fargo awarded $20.7M in poaching dispute with Raymond James

On Behalf of Lewitas Hyman PC | Feb 21, 2023 | Financial News

Wells Fargo Advisors was awarded $20.7 million by arbitrators after accusing Raymond James Financial Services of poaching advisors, reports Financial Advisor. Wells Fargo filed a complaint in August 2020 alleging that Raymond James and advisor Kent Jackson Rhoades...

Credit Suisse ordered to pay former broker $1.3 million in dispute over deferred compensation

On Behalf of Lewitas Hyman PC | Feb 17, 2023 | Financial News

Financial Industry Regulatory Authority arbitrators have sided with a former broker for Credit Suisse Securities in a dispute over deferred compensation, according to Investment News. The broker, James D. Garrity, was awarded over $1 million in compensatory damages...

2 men charged with multi-million dollar scheme to trade on stolen information

On Behalf of Lewitas Hyman PC | Dec 27, 2022 | Financial News

Federal prosecutors in New York announced that two men have been arrested for allegedly conspiring to carry out an insider trading scheme, according to ThinkAdvisor. 51-year-old Lawrence Billimek, a trader with TIAA unit Nuveen, and 77-year-old Alan Williams, a...

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