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  • 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
    • Investor Notice: GWG L Bonds
    • 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

Former McDonald’s CEO fined by SEC for misrepresenting his termination

On Behalf of Lewitas Hyman PC | Jan 19, 2023 | Firm Transition

The former CEO of McDonald’s Corporation, Stephen J. Easterbrook, has been charged by the Securities and Exchange Commission with misrepresenting the circumstances surrounding his November 2019 termination. The SEC said in a news release that Easterbrook made false...

Arbitrators award former Fidelity broker $500,000 in wrongful termination case

On Behalf of Lewitas Hyman PC | Jan 12, 2023 | Firm Transition

Financial Industry Regulatory Authority arbitrators awarded damages to a former broker for Fidelity Brokerage Services in a dispute over his termination, reports ThinkAdvisor. The arbitration panel issued its ruling in the claim of Ryan Sanghak Lee, whose causes of...

UBS reaches settlement with ex-brokers in dispute over firm transition

On Behalf of Lewitas Hyman PC | Jan 5, 2023 | Firm Transition

A settlement has been reached in a dispute between UBS Wealth Management USA and a group of brokers who left for another firm in October, AdvisorHub reports. A court document stated that a consent agreement was filed by UBS and the Indianapolis-based team that joined...

NRA arbitrators order NY firm to pay $1.5 million to former advisor over commission dispute

On Behalf of Lewitas Hyman PC | Dec 29, 2022 | Firm Transition

A New York broker-dealer has been ordered to pay over $1.5 million to one of its former financial advisors who said the firm did not pay him the commissions and other money he was owed, according to Financial Advisor. A Financial Industry Regulatory Authority...

Sanctuary Wealth ordered to pay $2M arbitration award to former CEO

On Behalf of Lewitas Hyman PC | Dec 8, 2022 | Firm Transition

An arbitration panel has sided with an Indiana broker-dealer in a dispute with his former company over the circumstances surrounding his departure, AdvisorHub reports. The Financial Industry Regulatory Authority arbitrators ordered Indianapolis-based Sanctuary Wealth...

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