by Mike | Aug 18, 2016 | Latest News
Finra said the adviser misled five IRA customers and then did not give an honest account of his actions InvestmentNews.com By Tanvi Acharya The Financial Industry Regulatory Authority Inc. accused former Merrill Lynch adviser of allegedly misleading five clients with...
by Mike | Aug 18, 2016 | Latest News
Robert Edward Loftus was discharged in 2013 and found in breach of a promissory note InvestmentNews.com By Christine Idzelis Broker Robert Edward Loftus must pay Wells Fargo almost $1 million in compensatory damages after his termination in 2013, according to the...
by Mike | Jul 6, 2016 | Latest News
Individuals that contribute to a Delta Air Lines Inc. 401(k) plan have sued sections of Fidelity Investments, on the claim of wrongdoing in the firm’s record keeping role. According to its latest Form 5500, the Delta Family-Care Savings Plan had approximately $7.8...
by Mike | May 6, 2015 | Latest News, Securities Fraud
In a better-than-average outcome, more than 90 investors who lost $9.7 million in a securities fraud debacle will recover a very substantial percentage of their losses. The investors had put money in a hedge fund, Samex Capital Partners, run by a Fishers, Ind., hedge...
by Mike | Dec 10, 2014 | Latest News
You may dream of someday passing down your family farm and your legacy to the next generation, but are you taking the necessary steps to prepare for that handoff? When it comes to successful succession planning, you do need more than a will – there are other important...
by Mike | Aug 5, 2014 | Latest News, Securities Fraud
Indianapolis-based accounting firm DeWitt & Shrader PC agreed to settle a lawsuit brought by a receiver appointed for Samex Capital Partners, LLC involving the way it provided services for convicted Ponzi schemer Keenan Hauke. The suit alleged that DeWitt &...
