Publications
WEAU: Former Altoona Investment Advisor Barred from Securities Industry
Michael Shillin, financial advisor based in Altoona, Wisconsin, has been barred from working in the securities industry by the Financial...
Bloomberg Tax: Tax-Writeoff Promoter Stifled by DOJ Lawsuit
Despite a government crackdown on tax shelters known as “syndicated conservation easements,” they are still being marketed in some...
Scottsdale Progress: Local financial advisor under fire in lawsuit
A Scottsdale financial advisor with a questionable history is the subject of a lawsuit alleging he breached his fiduciary duty when he made...
BottomLine Inc.: Beware Brokers Who Run Up Charges
Bottom Line Inc. Article on Churning On December 1, 2018, Bottom Line Inc. published an article warning consumers to be careful of brokers...
Investment News: Client wins $433,000 through FINRA arbitration claim..
Growing problem: Unpaid Arbitration Awards According to an article in Investment News, unpaid arbitration awards are a growing problem. The...
Investment News: New FINRA head Robert Cook…
New CEO of the Financial Industry Regulator Authority to Publish Examination Findings According to an article in Investment News, FINRA...
