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Tag: finra arbitration

Jun 12, 2017 - Annuities Fraud by |

Marin County Annuity Fraud and FINRA Arbitration Attorney: Annuity Fraud and FINRA Arbitration

ATTORNEY NEWSLETTER FINRA Gives Individual $1 Million for Annuity Fraud Annuity Fraud Annuity fraud, especially targeting seniors, is a growing problem. Complex annuities are often sold to individuals as retirement investments when they are, in fact, an insurance product often wholly unsuitable to a client’s portfolio or future financial needs. […]

Jun 6, 2017 - Bay Area by |

San Francisco County and California Consumer Protection and Arbitration Attorney: Arbitration Provisions

ATTORNEY NEWSLETTER Arbitration Clause in Warranty Struck Down Consumer Protection California consumers gained added protection recently when the Ninth Circuit Court of Appeals denied a manufacturer’s move to compel a consumer to arbitrate a dispute over product warranties. In Norcia v. Samsung Telecommunications America, LLC, 845 F.3d 1279 (9th Cir. […]

May 25, 2017 - Bay Area by |

San Francisco County and California Securities Fraud and Financial Elder Abuse Attorneys: FINRA Protections

ATTORNEY NEWSLETTER FINRA Announces Tough New Sanctions Cracking Down on Exploitation The financial industry is taking a long, hard look at the way its own people approach the consumer. Especially, the vulnerable consumer, who is most susceptible to exploitative practices and, in the case of seniors, financial elder abuse. The […]

Aug 7, 2015 - Evans Law Firm by |

FINRA Arbitration Panel Orders Morgan Stanley to Pay $2.4 Million to Former Clients

ATTORNEY NEWSLETTER A Financial Industry Regulatory Authority (FINRA) arbitration panel recently ordered Morgan Stanley to pay $2.4 million to a group of physicians and their family members. The physicians had accused former Morgan Stanley broker Steven Mark Wyatt of unauthorized and excessive stock-market trading. According to the lawyer for the […]

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