10.0David P Neuman
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David Neuman is Quoted Regarding Non Attorney Representatives

Tag Archives: financial planning

29
Dec

David Neuman is Quoted Regarding Non Attorney Representatives

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David Neuman is Quoted Regarding Non Attorney Representatives

Attorney David Neuman Is Quoted in Numerous Media Sources Regarding PIABA’s Report on Non Attorney Representatives   Attorney David Neuman and Attorney Andrew Stoltmann recently co-authored a report on behalf of PIABA (the Public Investors Arbitration Bar Association) regarding non attorney representatives representing investors in FINRA (Financial Industry Regulatory Authority) arbitration.  Andrew Stoltmann is currently ...

13
Dec

WADDELL & REED FINED BY SECURITIES BUREAU OVER FEES

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WADDELL & REED FINED BY SECURITIES BUREAU OVER FEES

Waddell & Reed Fined by New Hampshire Securities Bureau Over Financial Planning Fees   We are investigating allegations made by the New Hampshire Securities Bureau against Waddell & Reed, an Overland Park, Kansas-based securities brokerage firm.  Waddell & Reed has seven branch offices in the State of New Hampshire.  New Hampshire alleged that at least ...

10.0David P Neuman

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