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Lewitas Hyman PC
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Contact Us:  (312) 291-4600

  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • FINRA, SEC and State Regulatory Investigations
    • Employment Counsel
    • Wrongful Discharge
    • Expungement Claims
    • Promissory and Forgivable Notes
    • Firm Transitions
    • CFP Board Investigations
    • Partnership Disputes
    • Broker Protocol FAQs
    • Form U5 Claims
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Frequently Asked Questions About Investment Loss Matters
    • Financial Advisor Misconduct
    • Breach of Fiduciary and Other Duties
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

Investors file brief supporting judge who overturned FINRA arbitration award for Wells Fargo

On Behalf of Lewitas Hyman PC | May 18, 2022 | Financial News

A group of investors filed a brief in appellate court in support of a judge who overturned an arbitration award that had gone in favor of Wells Fargo Advisors, Financial Advisor reports. The Jan. 25 ruling by Fulton County Superior Court Judge Belinda E. Edwards is...

FINRA arbitrators award couple nearly $3.9 million in dispute over UBS YES strategy

On Behalf of Lewitas Hyman PC | May 17, 2022 | FINRA Compliance

A Houston couple has won an arbitration case stemming from their allegations that UBS Wealth Management USA’s Yield Enhancement Strategy (YES) exposed them to unacceptable risk, AdvisorHub reports. John Oren and his wife Elise were awarded $3.86 million in...

SEC awards nearly $3.5 million to 4 whistleblowers for assistance in investigation

On Behalf of Lewitas Hyman PC | May 16, 2022 | Financial News

Four whistleblowers have been awarded a total of nearly $3.5 million by the Securities and Exchange Commission for coming forward and providing assistance in a recent investigation, the SEC announced. Information provided by three of the whistleblowers caused the...

Wells Fargo broker terminated for excessive trading in his personal account

On Behalf of Lewitas Hyman PC | May 13, 2022 | Firm Transition

A broker for Wells Fargo Advisors was terminated from the firm for excessive trading in his personal account, according to a report by AdvisorHub. Roger A. Graham, who was based in San Antonio, Texas, was discharged this past February. The details were listed on his...

CFP Board announces sanctions against 25 financial planners

On Behalf of Lewitas Hyman PC | May 12, 2022 | CFP Board

The Certified Financial Planner Board of Standards has announced sanctions against 25 current or former certified financial planners for various violations of the profession’s ethical standards. The board issued a news release on the enforcement actions, which were...

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Recent Posts

  • Investors file brief supporting judge who overturned FINRA arbitration award for Wells Fargo
  • FINRA arbitrators award couple nearly $3.9 million in dispute over UBS YES strategy
  • SEC awards nearly $3.5 million to 4 whistleblowers for assistance in investigation
  • Wells Fargo broker terminated for excessive trading in his personal account
  • CFP Board announces sanctions against 25 financial planners

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