Category: Information for Financial Advisors

Improper Use of Unwarranted Disclosures in Regulatory Report of Financial Advisors to benefit Broker/Dealer

Mar 17, 2017 / Financial Advisors

In recent years, the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have revamped their efforts in making easier for investors to access the advisors’ regulatory reports (through the CRD of the IARD systems). To further promote disclosure of wrongdoing by Financial Advisors, FINRA and the SEC have also taken action to encourage Broker/Dealers to disclose any financial advisor wrongdoing. We applaud the efforts of the […]

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Vernon Litigation Group continues to file FINRA Arbitration claims Against Concorde Investment Services, LLC and expands investigation into actions of Meredith McCutchen

Aug 30, 2016 / BrokerCheck Reports

The attorneys at Vernon Litigation Group have already filed numerous FINRA arbitration claims relating to the investment activities of Jerry McCutchen in Alabama. Our investigation has now extended to the transfer of client accounts to McCutchen’s daughter, Meredith McCutchen at Concorde Investment Services soon after Jerry McCutchen left the securities industry in late 2014. Investigating Allegations of Inappropriate Investments Specifically, our investigation revolves around transactions that occurred in 2014 and 2015 […]

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