Litigation http://wealthmanagement.com/taxonomy/term/6622/more en When the Fight to Independence Is Won http://wealthmanagement.com/litigation/when-fight-independence-won <div class="field-deck"> Breaking away from a large institution can get messy. But if this advisor’s tale is any indication, it does pay to fight the system—sometimes. </div> <div class="node-body article-body">Breaking away from a large institution can get messy. But if this advisor’s tale is any indication, it does pay to fight the system—sometimes. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/litigation/when-fight-independence-won" target="_blank">read more</a></p> http://wealthmanagement.com/litigation/when-fight-independence-won#comments Legal Litigation Thu, 08 Aug 2013 12:30:00 +0000 339802 at http://wealthmanagement.com <p>John Lindsey, CEO and founder of Lindsey &amp; Lindsey Wealth Management</p> Death of the Small Broker-Dealer http://wealthmanagement.com/blog/death-small-broker-dealer <div class="node-body blog-body">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...</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/death-small-broker-dealer" target="_blank">read more</a></p> http://wealthmanagement.com/blog/death-small-broker-dealer#comments IBDs Legal Commentary Litigation Regulation & Compliance Wealth Planning Freemium Inside the Litigation Lion Tue, 18 Jun 2013 14:29:00 +0000 309182 at http://wealthmanagement.com Five Tips To Prevent A Suit Against a Stock Broker http://wealthmanagement.com/blog/five-tips-prevent-suit-against-stock-broker <div class="node-body blog-body">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. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/five-tips-prevent-suit-against-stock-broker" target="_blank">read more</a></p> http://wealthmanagement.com/blog/five-tips-prevent-suit-against-stock-broker#comments Industry Legal Commentary Litigation Inside the Litigation Lion Mon, 15 Apr 2013 14:37:00 +0000 271441 at http://wealthmanagement.com The Mysterious Case of the Writer and the Full Service Firm http://wealthmanagement.com/litigation/mysterious-case-writer-and-full-service-firm <div class="field-deck"> Is buying and delivering your client’s toilet paper worth it? </div> <div class="node-body article-body">As financial advisors take over more and more of their clients&rsquo; needs, the case of best-selling author Patricia Cornwell&rsquo;s $51 million verdict against Anchin, Block &amp; Anchin presents a cautionary tale.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/litigation/mysterious-case-writer-and-full-service-firm" target="_blank">read more</a></p> http://wealthmanagement.com/litigation/mysterious-case-writer-and-full-service-firm#comments Industry Litigation Thu, 21 Feb 2013 20:50:00 +0000 254351 at http://wealthmanagement.com Getty FINRA’s “Present,” The Wells Notice: Is It Beatable? http://wealthmanagement.com/blog/finra-s-present-wells-notice-it-beatable <div class="node-body blog-body">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! </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/finra-s-present-wells-notice-it-beatable" target="_blank">read more</a></p> http://wealthmanagement.com/blog/finra-s-present-wells-notice-it-beatable#comments Industry Legal Litigation Regulation & Compliance Inside the Litigation Lion Thu, 13 Dec 2012 15:37:00 +0000 233921 at http://wealthmanagement.com Trustees and the Lawyers Who Represent Them http://wealthmanagement.com/estate-planning/trustees-and-lawyers-who-represent-them <div class="field-deck"> “Overlapping capacities” and other problems </div> <div class="node-body article-body">In Stewart v. Kono (2012 Westlaw 4427096) we’re reminded of the often delicate balance needed when representing the fiduciary. In this case, John Stewart was trustee of his deceased brother’s living trust and executor of his estate. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/estate-planning/trustees-and-lawyers-who-represent-them" target="_blank">read more</a></p> http://wealthmanagement.com/estate-planning/trustees-and-lawyers-who-represent-them#comments Legal Litigation Estate Planning Public Tue, 27 Nov 2012 15:59:00 +0000 228181 at http://wealthmanagement.com Obama's Reelection - Buckle Up Broker http://wealthmanagement.com/blog/obamas-reelection-buckle-broker-1 <div class="node-body blog-body">In the wake of President Obama’s recent reelection, the nation is certain to face a bevy of changes.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/obamas-reelection-buckle-broker-1" target="_blank">read more</a></p> http://wealthmanagement.com/blog/obamas-reelection-buckle-broker-1#comments Industry Legal Litigation Regulation & Compliance Inside the Litigation Lion Thu, 22 Nov 2012 14:32:00 +0000 227321 at http://wealthmanagement.com The Government Finds Another Bank to Blame for the Housing Bubble http://wealthmanagement.com/blog/government-finds-another-bank-blame-housing-bubble <div class="node-body blog-body"><p> &nbsp;</p> <p> More Demonizing the Banking System?</p> <p> &nbsp;</p> <p> So, now the government is back at it. Blaming the housing bubble on every institution but itself (too much liquidity and Clinton&rsquo;s Community Reinvestment Act are to blame.</p> <p> The scapegoat this week is Wells Fargo in the crosshairs. Here is a snippet from the WSJ:</p> <p> &ldquo;The U.S. government filed a civil lawsuit against Wells Fargo &amp; Co., accusing the biggest U.S. mortgage lender of behaving recklessly in issuing federally backed home loans.</p></div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/von-aldo">Von Aldo</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/government-finds-another-bank-blame-housing-bubble" target="_blank">read more</a></p> http://wealthmanagement.com/blog/government-finds-another-bank-blame-housing-bubble#comments Legal Wells Fargo Litigation Regulation & Compliance Von Aldo Tue, 09 Oct 2012 21:00:00 +0000 219731 at http://wealthmanagement.com SEC Nails a Financial Advisor for Insider Trading of Burger King Stock. And It's a Whopper. But What Is Insider Trading Anyway? http://wealthmanagement.com/blog/sec-nails-financial-advisor-insider-trading-burger-king-stock-and-its-whopper-what-insider-trad <div class="node-body blog-body"><p> Well, another theif buys the farm. I just don&#39;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&#39;s called hubris.</p> <p> &nbsp;</p> <p> &nbsp;</p></div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/von-aldo">Von Aldo</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sec-nails-financial-advisor-insider-trading-burger-king-stock-and-its-whopper-what-insider-trad" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-nails-financial-advisor-insider-trading-burger-king-stock-and-its-whopper-what-insider-trad#comments Legal Markets Litigation Regulation & Compliance Von Aldo Thu, 20 Sep 2012 21:05:00 +0000 217491 at http://wealthmanagement.com The Form U-5: Why New York Got It Wrong http://wealthmanagement.com/blog/form-u-5-why-new-york-got-it-wrong <div class="node-body blog-body">Richard Roth, Esq., of The Roth Law Firm, opines, now that the dust has settled on the controversial decision in Rosenberg, which deemed Form U-5 statements immune from defamation litigation, the New York courts simply got it all wrong.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/inside-litigation-lion">Inside the Litigation Lion</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/form-u-5-why-new-york-got-it-wrong" target="_blank">read more</a></p> http://wealthmanagement.com/blog/form-u-5-why-new-york-got-it-wrong#comments Industry Legal Litigation Regulation & Compliance Practice Management Inside the Litigation Lion Sun, 19 Aug 2012 02:00:00 +0000 214951 at http://wealthmanagement.com