Investments | Law 360 | Joyce Hanson | February 7, 2020 "Law360 (February 6, 2020, 8:59 PM EST) -- A Native American tribe has sued an asset management firm in California federal court, saying it shirked its duty to buy securities that matched the tribe's investment...
Investor | Law 360 | Dean Seal | February 6, 2020 "Law360 (February 6, 2020, 6:55 PM EST) -- A New York federal judge has granted preliminary approval of a $15 million deal that would put money back into the pocket of a hospitality-focused real estate...
Broker | Financial Advisor | Alex Padalka | February 3, 2020 Finra barred Jim Heafner in July 2019 for failing to appear for testimony in a case related to allegations he was involved in outside business activities without getting his firm’s approval. In October, a Finra arbitration...
Fraud | Pennsylvania Real-Time News | Michael Rubinkam | January 30, 2020 A former Pennsylvania financial planner accused of falsifying his clients’ net worth to put them into high-risk investments was convicted of fraud Thursday in a case his attorney warned could have far-reaching implications for...
Moving at a pace that will soon make him a strong competitor with industry giants LPL and Ameriprise Financial, real estate investor Nicholas Schorsch has purchased five independent brokerage firms since June, 2013. In June, Schorsch announced the purchase of First Allied Holdings for an undisclosed amount. ...
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