Tag Archives: Brokers

Silver Law Group Files Claim Against Westpark Capital and Brokers Concerning the Horizon Select Technology Fund

Silver Law Group has filed a FINRA arbitration claim against Westpark Capital, Inc. (CRD# 39914) and its brokers, Adam D. Brown (CRD# 4506309) and John A. Orlando (CRD#  2002197) for recommending the private placement investment Horizon Select Technology Fund. The … Continue reading

Posted in Securities Law | Tagged , , , , , , , , , , , , | Leave a comment

Wells Fargo to pay Brokers

According to InvestmentNews.com Wells Fargo Advisors will pay $9.5 million to settle a class action suit brought by 2,198 current and former brokers in California, who had charged that the firm failed to pay commissions in a timely manner.http://www.investmentnews.com/article/20180430/FREE/180439991/wells-fargo-to-pay-9-5-million-to-reps-in-compensation-dispute Read … Continue reading

Posted in Banking and Finance law | Tagged , , | Leave a comment

Vista Drilling Programs Investors Solicited by Brokers May Have Arbitration Claims

Investors in various oil drilling programs offered by Vista Resources, Inc. (“Vista”), may be able to recover losses sustained on their investment through arbitration before FINRA, in the event that the investment was recommended by a financial advisor who lacked … Continue reading

Posted in Securities Law | Tagged , , , , , , , | Leave a comment

New FCA Rules Put Lenders and Brokers Directly in Their Gun Sights

The author is a member of the Firms Government Contracts & Regulated Industries Practice Group. For additional articles and postings concerning this and related topics, please refer to Sheppard Mullins Government Contracts Blog, which can be found at www.governmentcontractslawblog.com. I.  … Continue reading

Posted in Bankruptcy Law | Tagged , , , , , | Leave a comment

2 Former Morgan Stanley Brokers Plead Guilty to Fraud

James Polese and Cornelius Peterson Allegedly stole $500 K from 2 clients Two former Morgan Stanley brokers in Boston have purportedly agreed to plead guilty on fraud charges, according to the U.S. Attorney’s Office in Massachusetts. This comes after the … Continue reading

Posted in Securities Law | Tagged , , , , , , | Leave a comment