When Good Isn't Good Enough
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Posts
- 2024-05-10: Asset Freeze for Wealth Assistants
- 2024-02-26: Robert Banks Selected to Oregon Super Lawyers List for 15 Consecutive Years
- 2024-02-04: Wealth Assistants in the News
- 2024-01-28: Wealth Assistants’ Ecommerce Investments Scam
- 2023-11-16: FINRA Fails To Identify Non-Traded REIT That Violated Reg. BI
- 2023-11-14: Beneficient’s Quarterly Report Shows GWG’s Goodwill Was Overvalued By $1.4 Billion
- 2023-11-14: Due Diligence Failures at Haywood Securities
- 2023-11-12: GWG L-Bond Investments Are Nearly Worthless. Here’s How It Happened.
- 2023-11-09: Altman’s Z Score Shows GWG’s High Risk Of Bankruptcy In 2018
- 2023-11-09: Banks Law Office Seeking Potential Victims Of “Tongi Tupe” Ponzi Scheme
- 2023-11-05: FINRA Disciplinary Action Against Richard Siminou
- 2023-11-05: FINRA Expels BrokerBank Securities
- 2023-10-31: New Fiduciary Rule To Be Released Today
- 2023-10-31: How Long Does FINRA Arbitration Take?
- 2023-10-14: GWG L-Bond Investors Continue To Lose Money In October 2023
- 2023-10-10: FINRA Sanctions Kalos’s Arni J. Diamond For Selling GPB
- 2023-10-09: Notwithstanding The Lowenstein Report, FINRA Probably Made A Secret Agreement With A Broker’s Lawyer To Manipulate Arbitrator Selection
- 2023-10-01: FINRA Accuses Coastal Equities Broker Luke Michael Johnson Of Unsuitable Trading
- 2023-10-01: FINRA Sanctions Merrill Lynch Broker Robert Spencer Gerstein
- 2023-10-01: FINRA Suspends Kingswood Capital’s Broker Daniel King For Unsuitable Trading
- 2023-10-01: FINRA Fines American Trust Investment Services Broker John James Hoidas
- 2023-10-01: Laidlaw Broker Chris Harrington Fined For Unsuitable Trading
- 2023-10-01: Litigation Funding And Contingency Fees Are Not Inherently Unethical
- 2023-09-29: Fitbit Allegedly Failed To Pay For Fitbit Ionics Submitted In The Recall Between 2022 And 2023
- 2023-05-20: SW Financial Expelled by FINRA
- 2018-04-19: SEC Refuses to Adopt Fiduciary Rule
- 2018-04-18: How Trust Impacts Investor Abuse
Topics
- Broker Discipline (11)
- Consumer Protection (0)
- FINRA (3)
- Firm News (2)
- GWG (4)
- SEC (2)
- Uncategorized (4)
- Wealth Assistants (3)