Search Results for ""

Unauthorized Trading

Unauthorized trading involves the purchase or sale of a security by a broker without the prior consent of the customer, in a non-discretionary account. Unauthorized trading allegations are common in […]

Keeping Wealth in the Family

To help preserve their legacies, families increasingly turn to family offices tasked with maintaining multigenerational wealth. According to the UBS 2019 Global Family Office Report, there are 7,300 single family offices […]

securities law

Nanotech Engineering Asset Freeze By SEC

The SEC announced that it has obtained a temporary restraining order and asset freeze against a Nanotech Engineering, a California solar panel company and three executives, who allegedly defrauded more […]

Blue Sky Law

A blue sky law is a state law regulating the offer and sale of securities, as well as the regulation of broker dealers and stock brokers. Though the specific provisions […]

Churning

GPB Capital Investigations Heat Up

With losses approaching 70% for some investors, sitting on the sidelines, waiting for the funds to turn around is apparently not working for investors in the GPB Capital funds, and […]

UBS Ordered to Pay Broker $1.6 Million

A former star broker for UBS Financial Services Inc. who was repeatedly called a “bitch” by her boss won a $1.6 million discrimination arbitration award last month. According to InvestmentNews.com, the broker, […]