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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

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