Investor Choice Act of 2019 and Legislative Proposals

On April 3, 2019, the Subcommittee on Investor Protection, Entrepreneurship and Capital Markets, part of the House Committee on Financial Services, held a hearing entitled: Putting Investors First: Re…

Maryland Fiduciary Rule

Legislation proposed in the Maryland Senate, Senate Bill 786 – Financial Consumer Protection Act of 2019, contains a controversial fiduciary rule which defines certain investment professionals a…

Can You Sue Your Lawyer for Legal Malpractice?

Hiring an attorney to represent you on a legal matter means you are placing a need for services in the hands of a professional and you expect to receive a certain quality of care. When you do not re…

SEC Charges a California CPA with Stealing Millions in a Ponzi Scheme

On March 20, 2019, the Securities and Exchange Commission charged Carol Ann Pedersen, a CPA from Long Beach, California, with stealing millions of dollars from investors in a Ponzi scheme. At the time…

Volkswagen Fraud – Former CEO Defrauding Bond Investors

Last week, the Securities and Exchange Commission charged Volkswagen AG, its subsidiaries Volkswagen Group of America Finance, LLC and VW Credit, Inc., and it’s former CEO, Martin Winterkorn, wi…

What is Legal Malpractice? – Explained

Have you ever been wondering what is legal malpractice? When you find yourself in a legal bind, you want to hire the best legal representation you can find. Unfortunately, some people aren’t lucky e…

Trading of Short – Term Unit Investment Trusts Ends with Suspension and Fines

By Tom Costello of Costello Law Group FINRA suspended ex LPL broker, Mark Tauzin, from the securities industry for eight months for unsuitable short-term trading of unit investment trusts (UITs). F…

Broker Barred for Non-Compliance with FINRA Rules

By Tom Costello of Costello Law Group Henry Al Dean Watson, a former Hillard Lyons broker, was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in unauthorized t…

Texas Firm and Founding Member Suspended for Five Years

By Tom Costello of Costello Law Group posted in Securities on Monday, April 10, 2017. Jens Pinkernell and his firm J. Pinkernell Global Wealth was suspended for five years by the Texas Securitie…

Commonwealth of Massachusetts Charges Advisor for Operation Ponzi Scheme

By Tom Costello of Costello Law Group The Secretary of the Commonwealth in Massachusetts, William Galvin, charged Stephen Eubanks for engaging in a Ponzi scheme. Eubanks solicited customers to pu…

Investor Choice Act of 2019 and Legislative Proposals

Maryland Fiduciary Rule

Legislation proposed in the Maryland Senate, Senate Bill 786 – Financial Consumer Protection Act of 2019, contains a controversial fiduciary rule which defines certain investment professionals a…

Can You Sue Your Lawyer for Legal Malpractice?

SEC Charges a California CPA with Stealing Millions in a Ponzi Scheme

Volkswagen Fraud – Former CEO Defrauding Bond Investors

Last week, the Securities and Exchange Commission charged Volkswagen AG, its subsidiaries Volkswagen Group of America Finance, LLC and VW Credit, Inc., and it’s former CEO, Martin Winterkorn, wi…

What is Legal Malpractice? – Explained

Trading of Short – Term Unit Investment Trusts Ends with Suspension and Fines

Broker Barred for Non-Compliance with FINRA Rules

Texas Firm and Founding Member Suspended for Five Years

By Tom Costello of Costello Law Group posted in Securities on Monday, April 10, 2017. Jens Pinkernell and his firm J. Pinkernell Global Wealth was suspended for five years by the Texas Securitie…

Commonwealth of Massachusetts Charges Advisor for Operation Ponzi Scheme

By Tom Costello of Costello Law Group The Secretary of the Commonwealth in Massachusetts, William Galvin, charged Stephen Eubanks for engaging in a Ponzi scheme. Eubanks solicited customers to pu…

Costello Law Group Professional Malpractice

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Baltimore Securities & Estate Planning Law Blog

Investor Choice Act of 2019 and Legislative Proposals

Maryland Fiduciary Rule

Can You Sue Your Lawyer for Legal Malpractice?

SEC Charges a California CPA with Stealing Millions in a Ponzi Scheme

Volkswagen Fraud – Former CEO Defrauding Bond Investors

What is Legal Malpractice? – Explained

Trading of Short – Term Unit Investment Trusts Ends with Suspension and Fines

Broker Barred for Non-Compliance with FINRA Rules

Texas Firm and Founding Member Suspended for Five Years

Commonwealth of Massachusetts Charges Advisor for Operation Ponzi Scheme

Investor Choice Act of 2019 and Legislative Proposals

Maryland Fiduciary Rule

Can You Sue Your Lawyer for Legal Malpractice?

SEC Charges a California CPA with Stealing Millions in a Ponzi Scheme

Volkswagen Fraud – Former CEO Defrauding Bond Investors

What is Legal Malpractice? – Explained

Trading of Short – Term Unit Investment Trusts Ends with Suspension and Fines

Broker Barred for Non-Compliance with FINRA Rules

Texas Firm and Founding Member Suspended for Five Years

Commonwealth of Massachusetts Charges Advisor for Operation Ponzi Scheme

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