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The 8 stages of Trust and Estate Litigation

August 23rd, 2017

Most of our clients have never been involved in a lawsuit, so when we represent new clients in litigation we inform them of what to expect throughout the case. Each case is unique, but the observation of one of our colleagues about trust and estate litigation seems generally true. “Litigation is like remodeling your kitchen:…

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Butler v. LeBouef

May 5th, 2017

The ominous opening sentences of the court’s opinion in Butler v. LeBouef (2016 Cal. App. LEXIS 480) foreshadow a case study in how an unscrupulous estate planning attorney can influence and manipulate an elderly and infirm client. “An ethical estate planning attorney will plan for his client, not for himself. A license to practice law…

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FINRA’s Annual Regulatory and Examination Priorities Letter Highlights High-Risk Brokers

February 21st, 2017

Every year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to help its members understand where FINRA intends to focus its reviews during the coming year.  The letter is a must-read for FINRA members, compliance personal, supervisors, and those who provide advice about regulatory exams and related litigation. Among the issues discussed in the…

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NFL Players Sacked by Investment Fraud

February 21st, 2017

On October 23, 2016, CBS’s 60 Minutes ran an informative piece on investment fraud suffered by current and former NFL players at the hands of a financial advisor.  According to 60 Minutes, the players invested a total of $51 million in a gambling development in Alabama called Country Crossing.  Country Crossing was designed to lure…

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Regulators Crackdown On RIAs Employing Advisors Previously Barred By FINRA

February 20th, 2017

The Financial Industry Regulatory Authority (FINRA) oversees broker-dealers and their licensed registered representatives.  FINRA rules surrounding U-4 and U-5 filings require FINRA members to report customer complaints, regulatory investigations and, under some circumstances, conduct outside of the workplace.  FINRA mandated reporting provides important information primarily to three constituencies:  (1) investors who seek information about their investment advisors; (2) prospective employers…

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