On Jan. 27, 2023, the Financial Industry Regulatory Authority (FINRA) announced that former Texas-based Stifel, Nicolaus & Co. broker Robert Earl Turner had been permanently barred from association…
Read More
On Aug. 12, 2022, the Financial Industry Regulatory Authority (FINRA) announced that former Baton Rouge-based Park Avenue Securities registered representative Bradley S. Kavanagh had been permanently barred from…
Read More
On Nov. 17, 2022, the Financial Industry Regulatory Authority (FINRA) announced that former J.P. Morgan Advisors broker Edward L. Turley had been permanently barred. FINRA’s decision was made…
Read More
The Wall Street Journal reports that GWG Holdings, Inc., an alternative asset manager, filed for bankruptcy on Wednesday, Apr. 20, 2022. Known for selling life-insurance bonds to retail investors, GWG’s…
Read More
The Texas State Securities Board (“TSSB”) has announced its top investor threats, with cryptocurrency and digital assets topping the annual list. As detailed in a TSSB news release:…
Read More
Fishman Haygood attorneys Lance McCardle and Lara K. Richards presented at the 2021 Forensic Litigation and Business Valuation Conference in Baton Rouge on October 21, 2021. The annual…
Read More
