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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 broker suspended by FINRA for impersonating deceased relative

On Behalf of Lewitas Hyman PC | Jan 13, 2023 | Investment Loss

A former broker was suspended by the Financial Industry Regulatory Authority for impersonating a deceased relative during a phone call with her firm, according to ThinkAdvisor. The case involved Kimberly E. Nuessman, who was a registered representative and broker for...

FINRA orders former advisor to pay $1.66M to client for unsuitable investments

On Behalf of Lewitas Hyman PC | Jan 9, 2023 | Investment Loss

A panel of Financial Industry Regulatory Authority arbitrators issued an award to a retired New Jersey teacher who filed a claim against her former advisor over her investment losses, Financial Advisor reports. The FINRA panel ordered the former registered investment...

2 biotech CEOs charged in schemes to defraud investors over drug

On Behalf of Lewitas Hyman PC | Jan 2, 2023 | Investment Loss

A federal grand jury has indicted two biotech chief executive officers on charges they defrauded investors in the company CytoDyn, according to InsuranceNewsNet. 59-year-old Nader Pourhassan of Lake Oswego, Oregon and 69-year-old Kazem Kazempour of Potomac, Maryland,...

Florida couple charged with exploiting elderly investors in real estate scheme

On Behalf of Lewitas Hyman PC | Dec 15, 2022 | Investment Loss

Authorities in Alabama announced the arrests of two Florida residents in an alleged scheme to bilk an elderly couple out of nearly a quarter million dollars, according to InsuranceNewsNet. Allen and Connie Stanko, both 56 years old, were each charged with financial...

FINRA bars ex-broker following allegations of cheating on CFP exam

On Behalf of Lewitas Hyman PC | Dec 14, 2022 | Investment Loss

The Financial Industry Regulatory Authority has barred a former securities representative and broker in a case that involved alleged misconduct on a financial planner exam, ThinkAdvisor reports. FINRA detailed its action against Brandon Self in a letter of acceptance,...

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  • SEC files charges against 2 NY representatives over unsuitable investments
  • Advisor Group firms ordered to pay restitution to clients over 529 plan rollovers
  • Wisconsin adviser charged with defrauding clients out of $1.9 million
  • FINRA releases report to assist firms with compliance and risk monitoring
  • Former broker barred by FINRA for false statements about outside CBD business

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