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September 11, 2019
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Blog
FINRA Panel finds Wells Fargo Violated Nevada’s New Fiduciary Rule According to an article in the Wall Street Journal this week, a Nevada investor was reportedly awarded $40,000 in compensatory damages in the first case that invoked Nevada’s fiduciary rule, which requires all types of financial advisors to put
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March 15, 2017
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Current Investigations, Securities Fraud
$375,000 FINRA Arbitration Award According to Investment News, an investor won a $357,000 FINRA arbitration award against Wells Fargo Advisors for unsuitable energy and housing investments. These reports indicate that Anthony J. Pryor claimed fraud, negligent misrepresentation, breach of fiduciary duty and negligent
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July 9, 2011
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Blog, Securities Fraud
According to the Investment News, clients of a prominent Bank of America Merrill Lynch have won an $880,000 arbitration award against the firm. Phil Scott of the firm’s Bellevue, Wash., office, was this year ranked No. 30 on the Barron’s list of top advisers, with $1.8 billion under management. He ranks
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