Helen Cohen

  • FINRA Rules for SECU in Estate Case

    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.

  • FINRA Clears SECU Brokerage

    After weighing the evidence, a Financial Industry Regulatory Authority arbitration panel recently denied all claims against SECU Brokerage Services Inc. in an estate dispute.

  • FINRA Weeds Through Brokerage Case With CU Ties

    The Financial Industry Regulatory Authority may have a hard time deciding whether a defunct credit union-owned brokerage firm

  • Eight Hearings Scheduled for SECU Brokerage Case

    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.

  • NY Times Runs Correction On SECU Brokerage Story

    In an article involving a brokerage account complaint, The New York Times said it mistakenly linked an employee that worked with a defunct credit union broker to State Employees' Credit Union.

  • Verbatim

    The Jan. 15 issue of The New York Times published an article by Gretchen Morgenson ("Arbitration, Litigation, Aggravation") about a complaint filed by a trust set by Helen Cohen involving an investment account Cohen opened before her death.

  • Widow's Failed Brokerage Account Causes Finger Pointing

    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.

  • New York Times Runs Correction on SECU Brokerage Story

    The New York Times said it mistakenly linked an employee that worked with a defunct credit union broker to State Employees' Credit Union in a story involving a brokerage account complaint.

  • North Carolina's SECU Responds to Brokerage Account Complaint

    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.

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