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SEC Form CRS: Why It Is Important to Review | Michigan Securities Law Office

SEC Form CRS: Why It Is Important to Review | Michigan Securities Law Office

by Broker Fraud | Nov 19, 2020 | Securities Fraud, Securities Litigation

This past summer, many investors received what looks like a form letter in the mail from their investment firms. At first glance, many investors may have been tempted to pitch that form letter in the recycling bin without thoroughly reading the contents. If the letter...
Wells Fargo Sanctioned by FINRA for Not Supervising Employees | MI Securities Law Firm

Wells Fargo Sanctioned by FINRA for Not Supervising Employees | MI Securities Law Firm

by Broker Fraud | Oct 1, 2020 | Investment Fraud, Securities Litigation

Wells Fargo Sanctioned by FINRA for Not Supervising Variable Annuity Transaction Switches to Other Company Products In February, Wells Fargo settled a civil lawsuit and criminal prosecution filed ty the U.S. Department of Justice stemming from the 2016 disclosure that...
SEC Settlement with Major Investment Firm Results in $5M Penalty – MI Securities Law Firm

SEC Settlement with Major Investment Firm Results in $5M Penalty – MI Securities Law Firm

by Broker Fraud | Jun 30, 2020 | Securities Fraud, Securities Litigation

SEC Settlement with Major Investment Firm Results in $5M Fund Benefitting Harmed Wrap Fee Program Investors Investment firm, Morgan Stanley Smith Barney, LLC (MSSB), recently settled charges brought by the U.S. Securities and Exchange Commission (SEC) that the company...
Was Your Portfolio Suitably Invested?

Was Your Portfolio Suitably Invested?

by Broker Fraud | Apr 23, 2020 | FINRA Arbitration, Securities Fraud, Securities Litigation

As we navigate and muddle through the calamity of the Corona Virus black swan (an unforeseen, unexpected event), we must assess (1) where our stock portfolio value is at and (2) why. Is the value lost acceptable considering the black swan or is the loss in value...
Farmington Hills Broker Charged With Improper Bond Transactions | Michigan

Farmington Hills Broker Charged With Improper Bond Transactions | Michigan

by Broker Fraud | Apr 16, 2020 | Securities Fraud, Securities Litigation

Farmington Hills Broker Discharged from Morgan Stanley amid Allegations of Improper Bond Transactions Robert C. David was a registered broker and investment adviser for Morgan Stanley in the Farmington Hills branch office from June 2009 until March 2019. According to...
Celebrity Endorsements and Investments | MI Securities Law Firm

Celebrity Endorsements and Investments | MI Securities Law Firm

by Broker Fraud | Feb 29, 2020 | Investment Fraud, Securities Fraud, Securities Litigation

The psychology behind celebrity endorsements of products seems simplistic. The human brain recognizes celebrities similarly to how it recognizes people we actually know.1 People feel that they know the celebrity and that they can trust the celebrity and when that...
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  • SEC Form CRS: Why It Is Important to Review | Michigan Securities Law Office
  • Concorde Investment Services in Livonia to Settle FINRA Allegations | Securities Law Firm MI
  • Wells Fargo Sanctioned by FINRA for Not Supervising Employees | MI Securities Law Firm
  • Morgan Stanley Fined by FINRA | MI Securities Law Office

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