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May 15, 2015
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Blog, Securities Fraud
According to Investment News, former Morgan Stanley rep, John Offenburger, prevailed in a FINRA arbitration claim with the firm. The dispute alleged Offenburger breached the terms of a promissory note with the firm. Morgan Stanley alleged that following Offenburger’s termination from the firm he refused to pay
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August 20, 2014
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Blog, Securities Fraud
According to reports, a former Morgan Stanley broker was ordered to repay almost $1 million in a promissory note case but managed to prevail on a counterclaim and was awarded $100,000 in damages. The report indicates that the counterclaim was largely based on allegations that Morgan Stanley promised to keep an office
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July 12, 2012
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Blog, Securities Fraud
Securities Employment Claims – Securities Attorneys for Financial Advisors – Updated May 23, 2019 Are you a financial advisor with a securities employment dispute with your former employer? If so, securities attorneys at The White Law Group may be able to help you. Licensed financial professionals,
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January 26, 2012
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Blog, Securities Fraud
It is being reported in the Investment News that Merrill Lynch Pierce Fenner & Smith Inc. has agreed to pay $1 million to settle allegations that it circumvented FINRA rules that require firms to arbitrate disputes with employees, rather than bring them to court. According to the report, FINRA alleged that Merrill
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