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News & Alerts
On June 29, 2022, FINRA published a report prepared by independent counsel which found no evidence of an improper agreement to remove certain arbitrators from arbitration cases. The report was prompted by a much-publicized Georgia Superior Court decision vacating an arbitration award in favor of respondent Wells Fargo Clearing Services, LLC, which found, among other things, […] More
The firm’s client is an investment advisor representative who resigned from his prior investment advisory firm in May of 2022. Almost one month after his resignation his prior firm filed pleadings in federal court in Maryland seeking a temporary restraining order, a preliminary injunction, and monetary damages. It claimed that he misappropriated its trade secrets […] More
Denis Dice will be speaking on a webinar entitled “RIA Claims and New Regulations.” Denis will be joined by fellow IBDC-RIAC Alliance Members, Kevin Miller, General Counsel for Carson Group and Douglas A. Wright, CRCP, Chief Compliance Officer for the The Investment Center, Inc. as they take you through the new regulations that are impacting RIAs […] More