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FINRA Publishes 2018 Report on Examination Findings

On December 7, 2018, FINRA published its 2018 Report on FINRA Examination Findings which details observations from recent exams of FINRA member brokerage firms that it considers worth highlighting due to their potential significance, frequency, and i… Read More
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Categories: News & Updates

Brokerage Firm Baird to Acquire Hilliard Lyons

Baird Financial Group announced on November 27, 2018, that it had agreed to buy regional wealth management firm Hilliard Lyons, a smaller brokerage rival based out of Louisville, KY. Baird employs over 850 brokers at its Robert W. Baird broker-deale… Read More
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Categories: News & Updates

Hospitality Investors Trust Inc. (formerly American Realty Capital Hospitality Trust)

Hospitality Investors Trust Inc. (formerly known as American Realty Capital Hospitality Trust) is a publicly registered non-traded real estate investment trust (“REIT”) which owns a portfolio of hotel properties throughout North America. Read More
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Claims of Broker Misconduct Often Inaccurately Reported on Form U-5s

As recently noted in research reported by Bloomberg News, false claims of financial advisor misconduct are more common than people may think. Read More
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Categories: News & Updates

UBS Denied Recovery on Promissory Notes

A recent FINRA arbitration panel denied UBS’ request to recover over $500,000 on 6 promissory notes signed by a departing financial advisor in the matter of UBS Financial Services v. Creekbaum (FINRA Case No. 15-02079). Read More
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Categories: News & Updates

Broker Protocol Is No Shield to Advance Notice Provisions in Georgia

Since the Protocol for Broker Recruiting was enacted, advisors that departed one protocol firm for another were typically shielded from liability for taking designated client information and/or soliciting clients serviced at their prior firm. However… Read More
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Categories: News & Updates

LJM Preservation and Growth Fund (Symbol: LJMIX, LJMAX, LCMCX)

Gregory B. Simon Law, LLC is investigating investor claims related to shares of the LJM Preservation and Growth Fund. The fund, run by Chicago-based LJM Partners, suffered losses of over 80% in early February 2018 as a result of spiking volatility. Read More
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