SEC Adopts Regulation Best Interest and Other Reforms Aimed at Protecting Retail Investors

Last week, the Securities and Exchange Commission passed a package of regulations aimed at reforming standards for brokers and financial advisors providing investment advice. According to the SEC, the…

Brokerage Firms May Be Responsible for Selling GPB Capital Funds

GPB Capital Holdings, an alternative asset management firm based in New York, is the subject of investigations by FINRA, U.S. Securities and Exchange Commission (SEC), and state regulators. GPB Capita…

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 quality care. When you do not receive the lev…

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…

SEC Adopts Regulation Best Interest and Other Reforms Aimed at Protecting Retail Investors

Brokerage Firms May Be Responsible for Selling GPB Capital Funds

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

Costello Law Group Professional Malpractice

More Than 25 Years Of Experience —

More Than 25 Years Of Experience —

Baltimore Securities & Estate Planning Law Blog

Categories

Archives

Baltimore Securities & Estate Planning Law Blog

SEC Adopts Regulation Best Interest and Other Reforms Aimed at Protecting Retail Investors

Brokerage Firms May Be Responsible for Selling GPB Capital Funds

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

SEC Adopts Regulation Best Interest and Other Reforms Aimed at Protecting Retail Investors

Brokerage Firms May Be Responsible for Selling GPB Capital Funds

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

SEEK LEGAL ASSISTANCE

About Us

Services:

CONTACT US