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Misappropriation › Financial Adviser

Nilan Johnson Lewis PA

My Mom is a Client. When I Move Firms, Can I Wish Her Happy Birthday? How Restrictive Covenants and Trade Secret Laws Can Impact...

Nilan Johnson Lewis PA on

We defend many financial advisory firms and individuals in restrictive covenant and trade secret litigation. When an advisor moves from one firm to another, we help manage legal risk, and, if necessary, defend against the...more

Freiberger Haber LLP

Enforcement News: Misappropriation of Client Funds and Stock Manipulation

Freiberger Haber LLP on

It should come as no surprise that one of the goals of an investment fraud is the theft of customer funds for the scammer’s personal benefit. In legal parlance, this aspect of a fraudulent investment scheme is called...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Stealing plan assets is easier than you think

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

A third party administrator (TPA) and/or plan fiduciary stealing plans assets is easier than you think. The rumor that TPA Vantage Benefits stole $14 million from 6-7 of their clients shouldn’t be surprising to me because I...more

Dorsey & Whitney LLP

SEC Charges Advisory Firm to Sports Figures and Officers With Fraud

Dorsey & Whitney LLP on

The SEC filed two actions centered on an advisory firm that serves on high net worth individuals, primarily current and former professional athletes. The actions are based on the theft of client funds and a failure to...more

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