The White Law Group

Promissory Note
Tag Archive

• UBS Promissory Note Securities Litigation

  July 26, 2010 Comments (0) Blog, Securities Fraud

  The White Law Group is currently representing two former UBS financial advisors in a litigation matter involving their alleged promissory note obligation to UBS. Based on our preliminary investigation, it appears that these particular financial advisors were forced to leave UBS because UBS did away with a trading

  Read More »

• Financial Advisor Promissory Note Securities Litigation Representation

  

  June 23, 2010 Comments (2) Blog, Securities Fraud

    Promissory Note Disputes The White Law Group continues to represent financial advisors in Promissory Note disputes and claims related to the financial advisors prior employment. Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms

  Read More »

• Magistrate Judge Tells Texas Court that Citigroup Global Markets Holding Inc. Should Not Be Denied Arbitration Award for Unpaid Promissory Note (Forgivable Loan)

  September 15, 2009 Comments (0) Blog, Securities Fraud

  The US District Court for the Western District of Texas should confirm an arbitration award for brokerage firm Citigroup Global Markets Holding Inc. (n/k/a/ Morgan Stanley Smith Barney, LLC) against a former employee who failed to pay his promissory note—so says magistrate judge Nancy Stein Nowak. Nowak argued

  Read More »

• New Rule on Broker Promissory Note Arbitration Proceedings- SEC approves Rule establishing expedited proceedings for arbitrating promissory note cases.

  August 27, 2009 Comments (0) Blog, Securities Fraud

  Effective September 14, 2009, FINRA will begin expediting the administration of cases that solely involve a brokerage firm’s claim than an associated person (broker or financial advisor) failed to pay money owed on a promissory note. Under the new procedures, a single public arbitrator from the FINRA roster of

  Read More »