Wells Fargo Settles Deferred Comp Class Action For $7.4 Million
Wells Fargo Advisors recently agreed to pay in excess of $7.4 million to settle a class action claim alleging the…
Read MoreMonth: November 2014
FINRA’s Account Data Collection System Under Scrutiny
In recent years, everyone–from businesses, to government agencies and individuals–has turned to technology to simplify life and streamline the way…
Read MoreGot Guidance? Not Much, Says Judge Rakoff, If SEC Admin Enforcement Carries The Day.
This last week saw two notable developments: Judge Rakoff’s speech at PLI, and the NYT Op-Ed piece calling for the…
Read MoreFINRA Panel Awards Nearly One Million Dollars to Financial Advisor in Industry Employment Dispute
A three-person FINRA arbitration panel recently awarded Maryland financial advisor Gary Padussis nearly $933,000.00 in damages against UBS Financial Services…
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