Litigation for a wealth management practice.

When the Fight to Independence Is Won

  • May 28, 2015

    The FINRA Roach Motel: Dismissing a FINRA Arbitration

    Motions to dismiss are integral to the court system – they give defendants the opportunity to sidestep hundreds of thousands of dollars in legal fees and unnecessary time defending legally baseless claims. As for the courts, it clears up the docket by allowing judges to only adjudicate legitimate cases, freeing up court time and resources. How fundamental are motions to dismiss to the legal system? The motion has been a pillar of the legal process since the 13th century! Yet, FINRA thinks it knows better than centuries of Roman, British and United States law....More
  • Jun 18, 2013

    Death of the Small Broker-Dealer   6

    Over the past decade, a tremendous amount of pressure has been laid on the shoulders of the small broker-dealers of the securities industry. Like the iconic Willy Loman in Arthur Miller’s Death of a Salesman, these small and/or independent brokerages are allotted a significantly shorter leash than they have been in years past......More
  • Apr 15, 2013

    Five Tips To Prevent A Suit Against a Stock Broker

    Times are great. The market is soaring. Stocks are generally doing well. And the woes of 2007 and 2008 are a faded memory. And, of course, all customers are singing the praises of their registered representatives – until the next crises....More
  • Dec 13, 2012

    FINRA’s “Present,” The Wells Notice: Is It Beatable?

    So, you go to your mailbox and receive a letter from FINRA or the SEC which is titled a Wells Notice. Is it the beginning of the end of your career? Far from it!...More
  • Nov 22, 2012

    Obama's Reelection - Buckle Up Broker

    In the wake of President Obama’s recent reelection, the nation is certain to face a bevy of changes....More
  • Oct 9, 2012

    The Government Finds Another Bank to Blame for the Housing Bubble

      More Demonizing the Banking System?   So, now the government is back at it. Blaming the housing bubble on every institution but itself (too much liquidity and Clinton’s Community Reinvestment Act are to blame. The scapegoat this week is Wells Fargo in the crosshairs. Here is a snippet from the WSJ: “The U.S. government filed a civil lawsuit against Wells Fargo & Co., accusing the biggest U.S. mortgage lender of behaving recklessly in issuing federally backed home loans....More
  • Sep 20, 2012

    SEC Nails a Financial Advisor for Insider Trading of Burger King Stock. And It's a Whopper. But What Is Insider Trading Anyway?

    Well, another theif buys the farm. I just don't know what gets into people. Why do people think --- not just in financial services, but in any field --- they can get away with cheating and theiving? Oh, yeah. It's called hubris.    ...More

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