A National Securities Arbitration & Investment Fraud Law Firm
Individuals suffering from Alzheimer’s can be prime targets for financial predators Unfortunately, we become more susceptible to financial scams from a wide range of offenders as we age. These include trusted advisors such as lawyers, accountants, and financial managers – as well as healthcare providers, caregivers, and even close family…
This is one accusation comic book legend Stan Lee has made against his former manager The latest proof that elder financial fraud could affect anyone comes courtesy of 95-year-old comic book legend Stan Lee. The creator of such notable characters as Spider-Man, Thor, and the Hulk recently filed a lawsuit…
FINRA announced on May 6th that it censured and fined LPL Financial LLC (“LPL”) $10 million for supervisory failures in a number of different complex investment areas, including the sales of non-traditional exchange-traded funds (“ETFs”), certain variable annuity contracts, non-traded real estate investment trusts (“REITs”) and other products, as well…
The Stifel Nicolaus & Company story about financial advisors’ lack of training and supervision concerning exchange traded funds (ETFs) is not much different than other Wall Street giants, including Morgan Stanley, UBS, Citigroup and Wells Fargo who were fined for similar violations. On December 17, 2013 Stifel Nicolaus & Company…