Archives

2023-11-14: Updated: 2023-11-14 15:33:53 RIK Attorneys Won $3.2 Million for their Clients Against UBS Relating to Its YES Options Overlay Strategy

By Ross B. Intelisano and Christopher Keogh

2022-11-18: Updated: 2022-11-18 16:14:11 Rich, Intelisano & Katz Lawyers Investigate Regulation D Offerings Issued by HJ Sims & Co. Inc.

By Ross B. Intelisano and Christopher Keogh

2022-09-28: Updated: 2022-09-28 16:33:14 RIK Won the Largest Award Against UBS Relating to Its YES Options Strategy

By Ross B. Intelisano and Christopher Keogh

2022-05-31: Updated: 2022-05-31 10:18:50 Liquidating or Exchanging Annuities May Be Unsuitable for Investors

By Christopher Keogh

2022-03-16: Updated: 2022-03-16 15:46:12 Unsuspecting Investors Lost Millions Due to UBS’s Failure to Make Adequate Disclosures about Its Yield Enhancement Strategy (“YES”)

By John G. Rich and Christopher Keogh

2022-02-23: Updated: 2022-02-23 16:40:53 UBS’s Yield Enhancement Strategy (“YES”) Is Not an Iron Condor

By John G. Rich and Christopher Keogh

2021-09-21: Updated: 2021-09-28 09:44:47 With the Reopening of In-person Hearings, Investors Will Continue Recovering for Losses Sustained UBS’s Yield Enhancement Strategy (“YES”)

By John G. Rich and Christopher Keogh

2021-08-26: Updated: 2021-08-26 09:16:42 RIK Files Several Multi-Million Dollar Claims Related to Options Trading

By Christopher Keogh

2021-08-06: Updated: 2021-08-06 12:27:01 FINRA is Cracking Down on Improper Options-Trading Approval and Lack of Supervision

By Christopher Keogh

2021-04-14: Updated: 2021-06-30 16:24:20 SPACs & the Risks of Investing in Blank Check Companies

By Christopher Keogh

2021-01-26: Updated: 2021-01-26 11:52:00 Can Investors Recover for Losses from NYC REIT?

By Christopher Keogh

2020-11-02: Updated: 2020-11-02 12:32:21 Omnibus Accounts Create an Increased Risk of Fraud

By Christopher Keogh

2020-09-29: Updated: 2020-09-29 14:12:27 RIK Files $3 Million Claim Related to the UBS Yield Enhancement Strategy (“YES”)

By Christopher Keogh

2020-04-28: Updated: 2020-04-28 12:52:13 FINRA Arbitrations During the COVID-19 Pandemic

By Diane Mall Sammarco

2020-04-17: Updated: 2020-04-17 18:08:44 Cantor Fitzgerald Partnership Award Claims at FINRA

By Ross B. Intelisano

2020-04-15: Updated: 2020-04-15 16:23:44 Beware of Indirection at “Self Directed” Investment Firms

By John G. Rich

2020-04-14: Updated: 2020-04-14 16:30:09 Broker Transitions During the COVID-19 Pandemic

By Jaimie F. Dockray

2020-04-01: Updated: 2020-04-01 10:47:01 Mortgage REITs Collapse During Market Turmoil

By Ross B. Intelisano

2020-03-19: Updated: 2020-04-01 10:44:16 Margin Call Disputes Primer

By Ross B. Intelisano

2020-01-29: Updated: 2020-03-19 12:37:50 Beware of Investment Advisor “Recommendations” from Securities Firms that Specialize in “Self Directed” Trading Accounts.

By John G. Rich

2019-09-26: Updated: 2020-01-29 15:40:29 UBS YES Strategy Lawsuits

By Ross B. Intelisano

2019-04-08: Updated: 2020-03-19 12:39:48 UBS’s Flawed Yield Enhancement Strategy (YES)

By John G. Rich

2018-06-06: Updated: 2019-04-08 14:27:01 RIK investigating TD Ameritrade for unregistered former TD broker Ralph Wood, Jr.’s illegal trading activity

By John G. Rich

2018-01-30: Updated: 2018-01-30 16:50:44 Broker Protocol — Legal Pitfalls for Brokers/Advisors Switching Firms Post-Protocol

By John G. Rich

2016-10-27: Updated: 2016-10-27 14:51:17 Private Share Litigation Cases are Challenging

By Ross B. Intelisano

2015-06-19: Updated: 2015-10-14 15:17:05 Split Decision on Arbitration in Bank of America Case

By Jessica A. Murzyn

2015-06-04: Updated: 2015-06-04 15:32:40 SEC Fines Deutsche Bank $55 Million for Overvaluing Derivatives Portfolio During Financial Crisis

By Diane Mall Sammarco

2015-05-22: Updated: 2015-05-22 08:55:10 FINRA’s Regulatory Arm Announces Strengthening of Sanction Guidelines for Fraudulent Conduct by Brokers

By Diane Mall Sammarco

2015-05-08: Updated: 2015-05-08 10:06:35 FINRA Fines LPL for Failure to Supervise on Complex Products

By Ross B. Intelisano

2015-05-01: Updated: 2015-05-01 12:29:29 Liability of Commercial Banks for Investment Advisor Fraud

By Rich, Intelisano & Katz

2015-04-22: Updated: 2015-04-22 10:15:26 Merrill Lynch Fined for Faulty Trade Reporting

By Ross B. Intelisano

2015-04-15: Updated: 2015-04-15 17:20:25 Labor Department Proposes New Rule Imposing Fiduciary Duty on Brokers

By Jessica A. Murzyn

2015-04-10: Updated: 2015-10-19 09:48:05 Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Brokers

By Jessica A. Murzyn

2015-04-10: Updated: 2015-04-10 12:42:51 Broker Dealers Try to Avoid FINRA Arbitration: Heads I Win, Tails You Lose

By Rich, Intelisano & Katz

2015-03-20: Updated: 2015-03-20 15:54:52 SEC Chair Hints that the Commission Is Considering Rule on Fiduciary Duty for Brokers

By Jessica A. Murzyn

2015-03-06: Updated: 2015-03-06 16:12:54 Major Banks Pass Stress Test: Was it Stressful?

By Rich, Intelisano & Katz

2015-03-05: Updated: 2015-03-05 12:44:50 Morgan Stanley Likely Will Face Lawsuit by New York Attorney General Related to its Mortgage Bonds; Reaches Agreement to Settle Federal Mortgage Claims

By Jessica A. Murzyn

2015-03-04: Updated: 2015-03-04 12:36:24 Former Barclays Brokers get Employee Forgivable Loans Knocked Out in FINRA Arbitration

By Diane Mall Sammarco

2015-03-03: Updated: 2015-03-03 17:56:36 Master Limited Partnerships: Unsuitable for Some Investors?

By Ross B. Intelisano

2015-02-25: Updated: 2015-02-25 10:56:06 Brokers May Soon Be Subject to Fiduciary Duty to Their IRA Investors

By Rich, Intelisano & Katz

2015-02-19: Updated: 2018-06-06 17:36:31 Securities Arbitration Award Against Merrill Lynch Upheld

By Ross B. Intelisano

2015-02-19: Updated: 2015-02-19 15:07:12 Brokers Must Consider New Market Realities When Determining the Suitability of Asset Allocation for Young Investors

By Ross B. Intelisano

2013-10-25: Updated: 2020-04-08 09:24:31 UBS in Web of Puerto Rico Bond Funds Suffering Massive Losses

By Ross B. Intelisano

2011-12-09: Updated: 2011-12-09 10:55:50 Bloomberg Update on $383M Client Case v. Citigroup

By Ross B. Intelisano

2011-12-01: Updated: 2011-12-01 16:58:11 American Lawyer Piece on Firm’s Citigroup Case

By Ross B. Intelisano

2011-11-30: Updated: 2011-11-30 11:19:43 Bloomberg Piece on $383M Client Case v. Citigroup

By Ross B. Intelisano

2011-11-23: Updated: 2011-11-23 10:26:21 Private Shares Market – Little Disclosure

By Ross B. Intelisano

2011-11-18: Updated: 2011-11-18 09:42:19 Private Shares Fraud – Just the Beginning?

By Ross B. Intelisano

2011-10-17: Updated: 2011-10-17 09:27:41 Bloomberg: Goldman Sachs Asks Court to Throw Out $20.5 Million Bayou Creditors’ Award

By Ross B. Intelisano

2011-10-14: Updated: 2011-10-14 16:10:01 WSJ: Goldman Continues to Fight $20.5 Million Award in Pivotal Case

By Ross B. Intelisano

2011-10-11: Updated: 2011-10-11 11:36:52 On Wall Street Article About Firm’s $383mm FINRA Claim

By Ross B. Intelisano

2011-10-11: Updated: 2011-10-11 11:27:13 Bloomberg: Citi Moves to Stay Customer’s $383mm FINRA Claim

By Ross B. Intelisano

2011-07-13: Updated: 2011-07-13 14:14:53 OTC Derivatives Fraud – CFTC, SEC Differ on New Derivatives Rules

By Ross B. Intelisano

2011-07-13: Updated: 2011-07-13 13:57:06 Securities Fraud Tweets

By Ross B. Intelisano

2011-06-22: Updated: 2011-06-22 14:48:04 Regions Selling Morgan Keegan After $200M Bond Fund Hit

By Ross B. Intelisano

2011-06-22: Updated: 2011-06-22 14:22:31 SEC & FINRA Order RMK to Pay $200M for Bond Funds

By Ross B. Intelisano

2011-06-16: Updated: 2011-06-16 16:38:43 FINRA Cites SAC Capital Advisors for Suspicious Trading

By Rich, Intelisano & Katz

2011-05-16: Updated: 2011-05-16 12:08:54 OTC Derivatives Fraud – FT Piece

By Ross B. Intelisano

2011-05-16: Updated: 2011-05-16 11:47:00 Reuters Quote by Ross Intelisano on Securities Fraud

By Ross B. Intelisano

2011-05-03: Updated: 2011-05-03 18:46:28 Ross Intelisano Now on Twitter

By Ross B. Intelisano

2011-04-12: Updated: 2011-04-12 13:58:12 Citi Hit With $54 Million MAT Award

By Ross B. Intelisano

2011-04-11: Updated: 2020-04-08 09:24:50 FINRA Fines UBS for Principal Protected Notes

By Ross B. Intelisano

2011-02-10: Updated: 2011-02-10 09:50:19 Largest MAT Award Rendered Against Citi

By Ross B. Intelisano

2011-02-07: Updated: 2011-02-07 14:40:30 Rich & Intelisano Wins Punitive Damages Award

By Ross B. Intelisano

2010-12-10: Updated: 2010-12-10 14:04:06 CNBC Guest Blog: Madoff Two Years Later – It’ll Never Be the Same

By Ross B. Intelisano

2010-12-03: Updated: 2010-12-03 09:43:37 NY Times: Goldman’s $20 Million Consequence

By Ross B. Intelisano

2010-11-26: Updated: 2010-11-26 13:20:32 AP: Probe leads investors to wonder: Is game rigged?

By Ross B. Intelisano

2010-11-09: Updated: 2010-11-09 11:26:25 The American Lawyer: Judge Rakoff Confirms $20.6 Million Arbitration Award Against Goldman Sachs

By Ross B. Intelisano

2010-11-09: Updated: 2010-11-09 11:22:10 Reuters: Goldman loses bid to toss record Bayou award

By Ross B. Intelisano

2010-11-08: Updated: 2010-11-08 12:07:04 NY Times: Judge Upholds Award Against Goldman

By Ross B. Intelisano

2010-10-22: Updated: 2010-10-22 09:42:40 NY Times: In Clearing Bayou, Quagmire for Goldman

By Ross B. Intelisano

2010-10-04: Updated: 2010-10-04 15:46:18 Ross Intelisano Named to 2010 New York Super Lawyers List

By Ross B. Intelisano

2010-07-09: Updated: 2010-07-09 12:29:49 Brooklyn Law School Mag Features Ross Intelisano

By Ross B. Intelisano

2010-07-09: Updated: 2010-07-09 12:26:40 Goldman Must Pay Some Bayou Losses – New York Times

By Ross B. Intelisano

2010-06-30: Updated: 2010-06-30 17:03:40 Goldman Told to Pay Bayou Fund Creditors – WSJ

By Ross B. Intelisano

2010-06-28: Updated: 2010-06-28 11:04:11 Rich & Intelisano Wins Largest Arbitration Award Ever Rendered Against Goldman Sachs – $20.5 Million

By Ross B. Intelisano

2010-04-20: Updated: 2010-04-20 09:28:03 RaceTrac Arbitration May Show ABACAS Investors’ Best Path to Recover Against Goldman

By Ross B. Intelisano

2010-04-16: Updated: 2010-04-16 13:42:29 ABACUS Lawsuits Against Goldman Sachs Coming?

By Ross B. Intelisano

2010-04-16: Updated: 2010-04-16 11:38:27 Goldman Sachs Charged in ABACUS CDO Case By SEC

By Ross B. Intelisano

2010-04-07: Updated: 2010-04-07 13:08:23 SEC Charges Morgan Keegan with Fraud Related to Bond Funds

By Ross B. Intelisano

2010-02-25: Updated: 2010-02-25 16:03:14 Morgan Keegan Loses Two Significant Bond Fund Arbitrations

By Ross B. Intelisano

2010-02-12: Updated: 2010-02-12 10:36:24 Bear Stearns High Grade Investors Should Decide Quickly Whether to File Arbitrations

By Ross B. Intelisano

2010-02-09: Updated: 2010-02-09 15:44:53 Rich & Intelisano Wins $3.4 Million Award Against Bear Stearns in World’s First High Grade Fund Case Tried to Verdict

By Ross B. Intelisano

2010-01-12: Updated: 2010-01-12 10:50:07 Sean Coffey for New York Attorney General

By Ross B. Intelisano

2009-11-19: Updated: 2009-11-19 10:00:21 Goldman Sachs’ Public Image

By Ross B. Intelisano

2009-11-18: Updated: 2009-11-18 17:36:06 FINRA Will Permanently Disclose Disciplinary Actions Against Former Brokers on BrokerCheck

By Ross B. Intelisano

2009-11-17: Updated: 2009-11-17 18:05:04 Securities Fraud Content – What I’m Reading, Part One (Newspapers)

By Ross B. Intelisano

2009-11-17: Updated: 2009-11-17 11:57:05 Lehman Sues Barclays for $5 Billion

By Ross B. Intelisano

2009-11-17: Updated: 2009-11-17 10:40:38 SEC Will Pursue Case Against Cioffi and Tannin

By Ross B. Intelisano

2009-10-28: Updated: 2009-10-28 09:48:20 Morgan Keegan Loses Another Bond Fund FINRA Arbitration

By Ross B. Intelisano

2009-10-26: Updated: 2009-10-26 17:18:56 Morgan Keegan Loses Another Bond Fund Arbitration

By Ross B. Intelisano

2009-10-26: Updated: 2009-10-26 16:22:18 Galleon Wiretaps Rattle Hedge Funds

By Ross B. Intelisano

2009-10-16: Updated: 2009-10-16 09:43:08 Charles Schwab Hit with SEC Wells Notice for YieldPlus Funds

By Ross B. Intelisano

2009-10-14: Updated: 2009-10-14 13:13:43 Charles Schwab YieldPlus Fund – Decisions To Make

By Ross B. Intelisano

2009-10-14: Updated: 2009-10-14 09:33:06 Bear Stearns High Grade Fund Criminal Trial – It’s Not Just Emails

By Ross B. Intelisano

2009-10-09: Updated: 2009-10-09 10:39:42 New Tannin E-Mails Could Help Prosecutors

By Ross B. Intelisano

2009-10-09: Updated: 2009-10-09 09:25:58 Auction Rate Securities Cases Better Off in Arbitration

By Ross B. Intelisano

2009-10-08: Updated: 2009-10-08 10:03:15 FSA Censures Dresdner Portfolio Managers for Insider Trading

By Ross B. Intelisano

2009-10-06: Updated: 2009-10-06 12:18:03 Charles Schwab Loses Another YieldPlus Arbitration

By Ross B. Intelisano

2009-10-06: Updated: 2009-10-06 10:50:43 Cioffi and Tannin Criminal Trial Set for October 13th

By Ross B. Intelisano

2009-10-02: Updated: 2009-10-02 11:28:56 Securities Arbitration Filings Up

By Ross B. Intelisano

2009-09-16: Updated: 2009-09-16 17:10:48 Morgan Keegan Slammed by Horace Grant

By Ross B. Intelisano

2009-08-22: Updated: 2009-08-22 16:58:57 Citigroup Loses MAT Fund Arbitration

By Ross B. Intelisano

2009-07-24: Updated: 2009-07-24 17:49:30 Finra Warns About Inverse ETFs

By Ross B. Intelisano

2009-07-20: Updated: 2009-07-20 10:41:18 Morgan Keegan Receives Wells Notice Related to Bond Funds

By Ross B. Intelisano

2009-07-01: Updated: 2009-07-01 10:50:02 Notes From Madoff’s Sentencing Hearing

By Ross B. Intelisano

2009-06-28: Updated: 2009-06-28 19:52:22 Private Equity Fraud? Pang Case First of Its Kind

By Ross B. Intelisano

2009-06-27: Updated: 2009-06-27 19:40:44 Securities Attorneys Multiply

By Ross B. Intelisano

2009-06-10: Updated: 2009-06-10 15:35:51 OTC Derivatives – A “Soft Approach” Coming?

By Ross B. Intelisano

2009-06-09: Updated: 2009-06-09 16:01:08 Lehman Structured Notes – New Hampshire Sues UBS

By Ross B. Intelisano

2009-06-04: Updated: 2009-06-04 16:13:03 Employment Arbitration Award Confirmed – $4.1 billion

By Ross B. Intelisano

2009-05-30: Updated: 2009-05-30 16:03:43 Securities Arbitration – FINRA Withdraws Discovery Proposal

By Ross B. Intelisano

2009-05-19: Updated: 2009-05-19 18:33:33 OTC Derivatives Fraud – Happens More Often Than You Think

By Ross B. Intelisano

2009-05-15: Updated: 2009-05-15 17:43:34 Securities Arbitration Filings Surge

By Ross B. Intelisano

2009-05-12: Updated: 2009-05-12 12:31:25 Morgan Keegan Hit with Multiple Arbitration Awards

By Ross B. Intelisano

2009-05-08: Updated: 2009-05-08 11:24:06 Lehman Structured Notes – A Global Problem with Potential U.S. Remedies

By Ross B. Intelisano

2009-05-07: Updated: 2009-05-07 10:39:59 The Madoff Affair – PBS Frontline

By Ross B. Intelisano

2009-05-06: Updated: 2009-05-06 14:18:20 SEC Files Credit Default Swaps Insider Trading Case

By Ross B. Intelisano

2009-03-18: Updated: 2009-03-18 10:14:56 Madoff Accountant Arrested

By Ross B. Intelisano

2007-04-02: Updated: 2007-04-02 13:33:30 Reviewing Arbitrators’ Prior Awards in Securities Arbitration

By Rich, Intelisano & Katz

2007-04-01: Updated: 2007-04-01 13:13:35 Securities Arbitration Attorneys Should Bring These Five Things To The Hearing

By Rich, Intelisano & Katz

2007-03-13: Updated: 2007-03-13 18:28:40 Mortgage Securities Fraud? We Shall See

By Rich, Intelisano & Katz

2007-03-09: Updated: 2007-03-09 11:21:08 Stockbroker Fraud in Trusts Can Be Caught By Trustees By Investigating

By Rich, Intelisano & Katz

2007-03-07: Updated: 2007-03-07 11:18:48 Stockbroker Fraud of Seniors Can Be Caught By Reviewing Their Monthly Statements

By Rich, Intelisano & Katz

2007-03-03: Updated: 2007-03-03 11:10:14 Securities Fraud Charges Lodged By SEC Against UBS, Morgan Stanley and Bear Stearns Employees for Insider Trading

By Rich, Intelisano & Katz

2007-03-02: Updated: 2007-03-02 11:05:09 Hedge Fund Fraud Ruling Against Bear Stearns Costs Firm $125 Million

By Rich, Intelisano & Katz