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By Michelle A. Samaad |
April 6, 2011
After hearing both sides, a Financial Industry Regulatory Authority panel recently denied all claims made by the estate that was seeking more than $2 million against an investment adviser that worked for a broker-dealer acquired by SECU Brokerage Services Inc.
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By Michelle A. Samaad |
March 31, 2011
After weighing the evidence, a Financial Industry Regulatory Authority arbitration panel recently denied all claims against SECU Brokerage Services Inc. in an estate dispute.
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By Michelle A. Samaad |
February 23, 2011
The Financial Industry Regulatory Authority may have a hard time deciding whether a defunct credit union-owned brokerage firm
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By Michelle A. Samaad |
February 14, 2011
In a case involving an alleged failed real estate transaction through a defunct credit union broker-dealer, LPL Financial Corp., the company that acquired the firm, said it was dismissed from the claim.
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By Michelle A. Samaad |
February 10, 2011
On Feb. 21, a Financial Industry Regulatory Authority panel will hear the matter between SECU Brokerage, LPL Financial Corp. an investment adviser and a trust that claims its deceased client suffered losses after an alleged failed real estate investment.
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By Michelle A. Samaad |
January 26, 2011
The $21 billion State Employees' Credit Union is in the middle of a legal quandary involving a widow who opened up a failed brokerage account with a defunct, credit union-formed broker-dealer and investment firm.
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By Michelle A. Samaad |
January 18, 2011
A case involving a widow who opened up a brokerage account with the defunct, CU-formed XCU Capital LLC, its shell later bought by State Employees' Credit Union, is in the middle of a regulator and legal quagmire.
