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Misleading disclosures linger as advisors try to rebuild reputations with expungement

Even if advisors get a disclosures removed from their records, the damage done online can be difficult to manage.

West des moinesUnited statesJohn obannonSteve gombergMark munizziObannon brokercheckRob herskovitsDoc kennedyHugh berksonJason friedmanLynch thompsonMike garciaEdward jonesFinancial groupFinancial group west des moinesPublic investors advocate bar association

Chicago Court Issues Consent Order Settling CFTC Case Against Kraft After Seven Years

On Friday, the Northern District of Illinois issued a consent order outlining the settlement terms between the parties in U.S. Commodity Futures Trading

United statesLynch thompsonSutherland asbill brennanMayer brownKraft foods incUs commodity futures trading commissionKraft foods group incNorthern districtFutures trading commissionKraft foods groupSeventh circuitLaw street mediaSutherland asbill

Cetera ordered to pay broker $3M in FINRA arbitration case

A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades.

United statesSteven gombergFasanella brokercheckRobert herskovitsLynch thompsonGerald fasanellaJenice maleckiDisclosure departmentCetera financial groupCetera advisorsFargo advisorsHeron financial partnersHerskovits attorneysMalecki lawCentral registration depositoryRegulation and compliance

Alabama regulator intervenes in broker expungement case

Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.

United statesPalm beach countyJoe borgMark munizziHarveyr linderKent kirbyKenneth lehmannSteven gombergDonald hafeleRobert herskovitsLynch thompsonJenice maleckiMerrill lynchFamily office partnersFinancial servicesAlabama securities commission

Judge Reprimands Agency for Violating Confidentiality Requirements in Settlement Negotiations with Kraft Foods

Judge Reprimands Agency for Violating Confidentiality Requirements in Settlement Negotiations with Kraft Foods
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United statesLynch thompsonSutherland asbill brennanJohn robert blakeyMayer brownKraft foods incUs commodity futures trading commissionNorthern districtFutures trading commissionConsent orderSeventh circuitJudge john robert blakeyJudge blakeySutherland asbill