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Securities Litigation
Learn more about our process and what to expect:
Practice Areas:
- Merrill Settles Claim for $4.25 Million Regarding Suitability Allegations
- Brian Leggett and Bryson Holdings, LLC v. Wells Fargo Clearing Services, et al
- FINRA To Hire A Law Firm to Review Arbitrator Selection After Judge Rebukes FINRA in Vacating a Wells Fargo Award
- $950,000 Fine to Merrill – Flawed Supervision Allowed Two Advisors to Steal $6M
- In An Order To Vacate Award By Wells Fargo, Judge Scolds FINRA Arbitration
- J.P. Morgan to Pay $4 Million to Client
- FINRA Sanctions Two Brokers over UIT Sales at Merrill
- Finra Sanctions A Stock Broker Who Traded in A Dead Customer’s Account
- Ex-Merrill Broker Pleads Guilty to $3 Million Fraud
- Finra Fines and Suspends Ex-J.P. Morgan Broker over Unauthorized Trades
- Brokers Seek to Vacate $19-Mln Award Due to Napping Arbitrators on Zoom
- Morgan Stanley Potential $5 Million Claim from NBA Star
- SEC Puts Nail in Coffin of Career of Ex-Morgan Stanley Broker’s Barry F. Connell
- Finra Fines and Supends Ex-Ameriprise Broker Angel W. Bardeche
- FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans”
