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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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Brexit: The British have chosen "YES"

Brexit: The Brits have spoken

June 24, 2016

The British have spoken: Brits want the United Kingdom to leave the European Union, commonly known as Brexit, and global markets have been rattled since the announcement. In addition to the extreme market volatility, Prime Minister David Cameron announced his resignation; Scotland is making noise that it may revisit its independence, and what’s next? Nobody…

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Merrill Lynch Faces SEC Civil Enforcement Action

SEC prepares civil enforcement action against Merrill Lynch

June 23, 2016

In an article in the Wall Street Journal on Wednesday, June 22, 2016, it was announced that the Securities and Exchange Commission (SEC) is preparing a civil enforcement action against Merrill Lynch relating to the issuance of structured products investments in 2010. A structured product (oftentimes referred to as a “structured note”) is a debt…

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Concerns around Oppenheimer roster of brokers

Stockbroker Complaints: Oppenheimer roster of brokers

April 28, 2016

Professionals that invest your retirement money will soon have to do so with your best interests in mind. Last month, three professors released working papers related to licensed financial professionals noting among other things that might be very disconcerting is that five of the ten counties in the United States with the highest percentages of…

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