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...
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