Tag: broker promissory note lawyer
John Offenburger Wins Promissory Note Dispute
According to Investment News, former Morgan Stanley rep, John Offenburger, prevailed in a FINRA arbitration claim with the firm. The...
FINRA panel awards damages to broker in promissory note case.
According to reports, a former Morgan Stanley broker was ordered to repay almost $1 million in a promissory note case but managed to...
FINRA Awards regarding Financial Advisor Promissory Notes
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in...
Merrill Lynch Fined Over Promissory Note Clauses
It is being reported in the Investment News that Merrill Lynch Pierce Fenner & Smith Inc. has agreed to pay $1 million to settle...
