Robert W. Baird Hit by FINRA for Charging Excessive Commissions on Stock Trades.

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

By James Matthews|September 20, 2022|Churning, Excessive Trading, Failure to Supervise, Fiduciary Duty|Comments Off on Robert W. Baird Hit by FINRA for Charging Excessive Commissions on Stock Trades.

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Former Robert W. Baird Broker Patrick Phillips In Trouble With Regulators

According to a recent Letter of Acceptance, Waiver and Consent [...]

By James Matthews|August 8, 2018|Fraud, Investment Fraud, Lawsuit|Comments Off on Former Robert W. Baird Broker Patrick Phillips In Trouble With Regulators

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Woodbury Slammed With $1.1 Million Fine For Failure to Supervise Broker

The Financial Industry Regulatory Authority (FINRA) ordered Woodbury Financial to [...]

By James Matthews|June 27, 2018|Fraud, Investment Fraud, Lawsuit|Comments Off on Woodbury Slammed With $1.1 Million Fine For Failure to Supervise Broker

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Call 312-332-4200 Today If You Have Frederick Monroe Jr and Voya Financial Losses

To find out how you can recover your losses on [...]

By James Matthews|May 12, 2017|Fraud, Investment Fraud, Lawsuit|Comments Off on Call 312-332-4200 Today If You Have Frederick Monroe Jr and Voya Financial Losses

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Andrew Stoltmann Discusses With Investment News The Massive $20 Million FINRA Arbitration Award….

Against Milwaukee based Robert W Baird this month in its [...]

By James Matthews|January 18, 2017|Fraud, Investment Fraud, Lawsuit|Comments Off on Andrew Stoltmann Discusses With Investment News The Massive $20 Million FINRA Arbitration Award….

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SEC Fines Raymond James, Baird for Big-Time Wrap-Fee Violations

According to a recent InvestmentNews article entitled “Raymond James, Baird [...]

By James Matthews|September 20, 2016|Fraud, Investment Fraud, Lawsuit|Comments Off on SEC Fines Raymond James, Baird for Big-Time Wrap-Fee Violations

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