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Recent News

Weekly Report – 6/19/17

June 19, 2017

In Financial Advisor IQ, on 6/14/17, it was reported that a former Morgan Stanley financial consultant was the subject of a securities regulatory action by the Financial Industry Regulatory Authority (FINRA) alleging that he had concealed losses in a client’s investment account.  According to the article, FINRA alleged that Kim Dee Isaacson had misrepresented the…

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Law Firms of Ciklin Lubitz, Silver Law Group and David R. Chase, P.A. Investigating Customer Claims Against JP Morgan

March 7, 2017

Securities Arbitration and Investment Litigation Lawyers with multiple law firms are investigating customer claims against JP Morgan March 07, 2017 17:46 ET | Source: David R. Chase, P.A. FORT LAUDERDALE, Fla., March 07, 2017 (GLOBE NEWSWIRE) — The securities arbitration and investment litigation lawyers at the Ciklin Lubitz Law Firm, The Law Firm of David…

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Will the Recent Election Impact Your Investment Portfolio?

November 17, 2016

As of now it is pure speculation as to what (if any) policies the new administration might offer could serve to impact investor portfolios. As a recent presidential candidate, Donald Trump has made reference to a market bubble and plenty of commentators have noted that a rise in interest rates could potentially result in a…

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FINRA

Is FINRA doing enough to steer investors clear of bad brokers?

August 18, 2016

Recently, there has been a debate about whether the securities industry is doing enough to get rid of bad brokers. People are also wondering if U.S. regulators are doing everything possible to accomplish the same goal. The core of the argument is based on some recent studies that have been released, which reveal a higher…

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FINRA Bans Winston Wade Turner for Deceptive Variable Annuity Practices

August 1, 2016

FINRA Bans Winston Wade Turner for Deceptive Variable Annuity Practices The Financial Industry Regulatory Authority (FINRA) has banned broker Winston Wade Turner from the securities industry for allegedly making deceptive recommendations to clients concerning variable annuities, and for the deceptive disclosure of his recommendations to his company’s supervisory board. Turner, a former Pruco Securities and…

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VNA & Hospice Foundation’s Planned Giving Committee’s Advisory Council

July 28, 2016

Matthew Thibaut and Jason Haselkorn were appointed to the VNA & Hospice Foundation’s Planned Giving Committee’s Advisory Council in Vero Beach, FL.  VNA’s mission is to provide compassionate, innovative care of the highest quality, setting the standard for patients and caregivers needing home health, hospice and community health services. In addition, Matthew Thibaut was appointed…

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