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Author: prwlegal201

Home > Articles posted by prwlegal201 (Page 24)

Frederick E. Monroe Jr Allegedly Orchestrated a $1.26 Million Ponzi Scheme, Soliciting Clients for Personal Checks that he Claimed Would Be Invested in Bonds for Their Retirement Frederick E. Monroe Jr, the senior vice president of a financial planning firm based in Stuyvesant Plaza, Capital Financial...

04 September, 2015

We are delighted to report a big win in the U.S. Court of Appeals for the Ninth Circuit for our clients Piping Rock Partners and Chris Germain. After our clients filed a defamation suit in the federal district court in San Francisco, the defendants filed...

20 July, 2015

As President of PIABA, the Public Investors Arbitration Bar Association, Joe Peiffer has led the fight for federal regulations that would require stockbrokers to place their retirement clients ahead of their own self-interests. That dream may become a reality soon. The Department of Labor has proposed...

20 July, 2015

Joe Peiffer was recently quoted in On Wall Street about shortfalls in FINRA’s BrokerCheck service.  BrokerCheck does not disclose complete information about brokers. Joe, as president of the Public Investors Arbitration Bar Association (PIABA), drafted a letter to the SEC, along with Public Citizen and the...

17 July, 2015

Adam Wolf was recently quoted in the AP regarding a case that the firm is litigating for its clients Jerry Olson and Medical Marijuana of the Rockies.  You can read the article here. The article, which was distributed to newspapers throughout the country, notes the firm’s...

16 July, 2015

Joe Peiffer was recently quoted in an article that appeared in the magazine Financial Planning. The article concerned brokers’ meaningless self-designations as “retirement specialists.” LPL Financial recently paid a fine of $250,000 in relation to ten of its Massachusetts-based advisers employing the title of “Retirement Income...

16 July, 2015

For the fourth consecutive year, Adam Wolf was a featured speaker at the annual convention of the American Association for Justice.  This year’s conference, attended by attorneys from around the world, took place in Montreal, Canada. Adam provided a review of the U.S. Supreme Court’s October...

14 July, 2015
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