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Miami Investment Fraud Attorney
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Category Archives: Uncategorized

Merrill Lynch Censured, Fined $300,000 for Failure to Supervise Miami Financial Advisor

By Staff |

Merrill Lynch (CRD#: 7691) — a large global banking and brokerage firm — has been censured by the Financial Industry Regulatory Authority (FINRA) and fined $300,000 for its failure to adequately supervise one of its former securities representatives. Unfortunately, this lack of proper supervision allowed serious financial advisor fraud to occur. According to the… Read More »

Litigation

Florida Brokerage Firm Agrees to $150 Million Settlement in Jay Peak Case

By Staff |

On April 13th, 2017, there was a major development in ongoing Jay Peak litigation. The court-appointed receiver for Jay Peak, Michael I. Goldberg, announced that he had reached a $150 million settlement with Raymond James & Associates Inc., the Florida brokerage firm that allegedly ‘aided and abetted’ the mass fraud that took place at… Read More »

The SEC Has Charged UBS Financial Services With the Failure to Adequately Supervise its Sales Staff

By Staff |

The Securities and Exchange Commission (SEC) recently reached a $15 million settlement with the financial services giant UBS. The settlement came in relation to charges that the company failed to adequately educate, train and supervise members of its sales team. As a result of these failures, sales representatives were unable to fairly inform clients… Read More »

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