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Stoltmann Law Securities Fraud Attorneys
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Stoltmann Law Securities Fraud Attorneys
  • Practice Areas
    • Class Action Representation
    • Arbitration Process
    • Investment & Securities Fraud
    • Litigation
  • Attorneys
  • Resources
    • Investment Firms We Have Litigated Against
    • Stoltmann Arbitration Awards
    • Current Investigations
    • Video FAQs
    • How We Are Paid
  • Case Results
  • In The Media
  • Blog
  • Get In Touch

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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Chicago Office

161 N Clark Street 16th Floor
Chicago, IL 60601
Phone: 312-332-4200
Fax: 312-332-4201
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Hoffman Estates Office

2000 Center Dr East #C218
Hoffman Estates, IL 60192
Phone: 312-332-4200
Fax: 312-332-4201
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Downers Grove Office

5117 Main St #9
Downers Grove, IL 60515
Phone: 312-332-4200
Fax: 312-332-4201
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About Stoltmann Law

Stoltmann Law Offices, P.C. has dedicated its practice to representing investors in lawsuits and arbitration claims against brokers, financial advisors, investment advisors, and their companies.

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We serve clients nationwide including, but not limited to, those in the following localities: Atlanta, Baltimore, Boston, Chicago, Dallas–Fort Worth, Denver, Detroit, Houston, Indianapolis, Las Vegas, Los Angeles, Miami, New Orleans, New York City, Philadelphia, Phoenix, Pittsburgh, San Antonio, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa–St. Petersburg, and Washington, D.C.

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