Raymond James, Wells Fargo and LPL Financial Ordered to Pay More Than $30,000,000.00 in Restitution to Retirement Accounts and Charities Which Were Overcharged for Mutual Funds

Stockbroker Law - Friday, June 26, 2015
Raymond James, Wells Fargo and LPL Financial Ordered to Pay More Than $30,000,000.00 in Restitution to Retirement Accounts and Charities Which Were Overcharged for Mutual Funds

On Monday, July 6, 2015 the Financial Industry Regulatory Authority (FINRA) announced that Wells Fargo, Raymond James and LPL Financial were order ..

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The New York State Department of Financial Services - Life Insurance Resource Center

Stockbroker Law - Thursday, May 21, 2015
The New York State Department of Financial Services - Life Insurance Resource Center

The New York State Department of Financial Services maintains a Life Insurance Resource Center (/pdf/annuity-products-new-york.pdf) on its website ..

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Reverse Convertibles – Risky Investments Plagued with Losses

Stockbroker Law - Monday, May 18, 2015
Reverse Convertibles – Risky Investments Plagued with Losses

A number of brokerage firms have sold reverse exchangeable securities, also known as reverse convertibles, to retail investors. These structured p ..

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Are You Interested in Being An SEC Whistleblower?

Stockbroker Law - Friday, May 15, 2015
Are You Interested in Being An SEC Whistleblower?

The Office of the Whistleblower of the Securities and Exchange Commission (hereafter “SEC”) established a whistleblower program on Jul ..

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Senator Elizabeth Warren Investigate Insurance Company Sales Incentives For Annuity Products

Stockbroker Law - Tuesday, May 12, 2015
Senator Elizabeth Warren Investigate Insurance Company Sales Incentives For Annuity Products

Massachusetts Senator Elizabeth Warren sent a letter on Tuesday, April 26, 2015, to a number of large insurance companies, including MetLife, Inc. ..

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