UBS Financial Hit by FINRA for Violating Options Rules

Stoltmann Law Offices is investigating cases where brokers have [...]

By Stoltmann Law|November 7, 2022|Options, UBS|Comments Off on UBS Financial Hit by FINRA for Violating Options Rules

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FINRA Makes First Regulatory Findings Under New Regulation Best-Interest

Stoltmann Law Offices is representing investors in arbitration claims [...]

By Stoltmann Law|November 7, 2022|Regulation Best Interest|Comments Off on FINRA Makes First Regulatory Findings Under New Regulation Best-Interest

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FINRA Fines Next Financial Group for Misconduct In Connection with Short-Term Trading of Class-A Mutual Funds

Stoltmann Law Offices is investigating cases where brokers have overtraded [...]

By Stoltmann Law|September 7, 2022|Failure to Supervise, Fiduciary Duty, FINRA Arbitration, Fraud|Comments Off on FINRA Fines Next Financial Group for Misconduct In Connection with Short-Term Trading of Class-A Mutual Funds

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JP Morgan Financial Advisors Stuffed Unsuitable Structured Products into Their Own Grandmother’s Account

Stoltmann Law Offices represents investors that were sold high-risk structured [...]

By Stoltmann Law|August 26, 2022|Alternative Investments, Structured Products|Comments Off on JP Morgan Financial Advisors Stuffed Unsuitable Structured Products into Their Own Grandmother’s Account

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FINRA Warns Brokerage Firms About Selling “Liquid Alt” Investments.

Chicago-based Stoltmann Law Offices represents investors who’ve suffered losses from [...]

By Stoltmann Law|May 17, 2022|Alternative Investments, Private equity, Private Placement, REITs, SPACs|Comments Off on FINRA Warns Brokerage Firms About Selling “Liquid Alt” Investments.

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Morgan Stanley Accused of Front-Running in Reported Arbitration Filing

Chicago-based Stoltmann Law Offices is representing investors who’ve suffered losses [...]

By Stoltmann Law|May 2, 2022|Failure to Supervise, Fiduciary Duty, FINRA Arbitration, Morgan Stanley|Comments Off on Morgan Stanley Accused of Front-Running in Reported Arbitration Filing

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FINRA Examinations Determine Brokerage Firms are Not Monitoring Client Risk Tolerance

Chicago-based Stoltmann Law Offices represents investors who’ve suffered losses as [...]

By Stoltmann Law|February 28, 2022|Churning, Churning Fraud, FINRA Arbitration|Comments Off on FINRA Examinations Determine Brokerage Firms are Not Monitoring Client Risk Tolerance

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Credit Suisse Hit with $9 million Fine by FINRA for Undisclosed Conflicts and Margin Issues.

Chicago-based Stoltmann Law Offices represents investors who’ve suffered losses from [...]

By Stoltmann Law|February 4, 2022|FINRA Arbitration, FINRA Enforcement|Comments Off on Credit Suisse Hit with $9 million Fine by FINRA for Undisclosed Conflicts and Margin Issues.

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SEC Obtains Judgment Against Former Raymond James Broker Michael Shillin

Chicago-based Stoltmann Law Offices offers representation on a contingency fee [...]

By Stoltmann Law|January 26, 2022|Fraud|Comments Off on SEC Obtains Judgment Against Former Raymond James Broker Michael Shillin

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McNally Financial Services Hit by Regulator for Costing Investors

Chicago-based Stoltmann Law Offices is investigating financial advisors who switch [...]

By Stoltmann Law|January 13, 2022|ETFs, Excessive Trading|Comments Off on McNally Financial Services Hit by Regulator for Costing Investors

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