Blog Posts by Sanford Heisler Sharp, LLP

Securities Regulation To Watch In 2017

Posted January 2nd, 2017 by .

Categories: News.

As it appeared on Law360 By Carmen Germaine Law360, New York (January 2, 2017, 1:03 PM EST) — Donald Trump’s rise to the presidency has sent stock markets climbing while investment firms jubilantly await a promised roll-back of the Dodd-Frank Act and other major securities rules. While campaign-trail promises often don’t work out as planned, with […]

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Sanford Heisler Obtains Damages Award Against High-Profile Financial Advisor Kyle Harrington

Posted December 12th, 2016 by .

Categories: Financial Adviser Misconduct, News.

A FINRA arbitration panel in San Diego issued an award to plaintiff, investor Ted Zimbelman, for damages against National Securities Corporation and San Diego-based high-profile broker Kyle Harrington in a claim alleging securities fraud and other investment-related violations. In a victory for Zimbelman, the FINRA panel ruled that Harrington and his employer National Securities Corporation […]

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DOL fiduciary rule FAQs emphasize dangerous compensation practices — including for RIAs

Posted October 28th, 2016 by .

Categories: News.

As it appeared on Investment News While brokers will see the biggest shift under the new regulation, Labor Department guidance includes clarification of requirements for advisers rolling assets into IRAs By Mark Schoeff Jr. Most of the impact of a Labor Department regulation to raise investment advice standards for retirement accounts hits brokers, but investment […]

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Morgan Stanley (MS) Sued Over Alleged Mismanagement of 401(k) Plans

Posted August 22nd, 2016 by .

Categories: News.

As it appeared on The Street Sanford Heisler partner Charles Field discussed his law firm’s lawsuit against that accuses Morgan Stanley of mismanaging its own employees’ 401(k) plan. Natalie Walters NEW YORK (TheStreet) — Sanford Heisler law firm partner Charles Field appeared on CNBC’s “Closing Bell” to discuss the company’s lawsuit accusing Morgan Stanley  (MS) of […]

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Is it time for 403(b) plans to evolve?

Posted August 22nd, 2016 by .

Categories: News.

As it appears on Benefits Pro Higher education tends to use multiple retirement service providers and dozens of investment options AUG 22, 2016 | BY NICK THORNTON The recent slew of lawsuits against sponsors of 403(b) plans at some of the country’s most distinguished universities raises questions as to whether or not the allegedly imprudent practices […]

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Suits Target University Retirement Plans

Posted August 20th, 2016 by .

Categories: News.

As it appeared in the Wall Street Journal Lawsuits contend some universities’ 403(b)s are slow to streamline retirement-plan choices and to lower fees By Anne Tergesen A dozen big-name universities in the past two weeks have been hit with lawsuits alleging the retirement plans for their employees, some of which offer hundreds of investment choices, […]

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Morgan Stanley hit with $150 million 401(k) lawsuit for self-dealing and excessive fees

Posted August 19th, 2016 by .

Categories: News.

As it appeared on Investment News The wirehouse now joins a growing list of other financial-services companies sued for similar reasons By Greg Iacurci Morgan Stanley was sued Friday by a former participant in the company’s 401(k) plan for excessive retirement-plan fees and self-dealing on the part of the company, which allegedly enriched itself at […]

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Chair of Sanford Heisler Sharp Financial Services Litigation Practice Files Amicus Brief with PIABA to support the DOL Fiduciary Rule

Posted July 19th, 2016 by .

Categories: News.

Click here to read the amicus brief As seen on the PIABA website PIABA URGES COURT TO IGNORE LAST-DITCH ATTEMPT BY OPPONENTS OF ENDING CONFLICTED INVESTMENT ADVICE COSTING CONSUMERS BILLIONS WASHINGTON, D.C. – July 19, 2016 – In an amicus brief filing before the US District Court for the District of Columba, the Public Investors […]

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DOL Fiduciary Rule Challengers Leave Nothing To Chance

Posted June 2nd, 2016 by .

Categories: News.

As published on Law360 By Carmen Germaine Law360, New York (June 2, 2016, 10:59 PM ET) — Industry groups filing a lawsuit challenging the U.S. Department of Labor’s fiduciary rule have covered all their bases in an effort to increase their chances of success, backing up novel administrative law claims with a First Amendment claim and filing in […]

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DOL Fiduciary Rule’s Conflict-of-Interest Split Personality

Posted May 10th, 2016 by .

Categories: News.

Click here to read the article on Fiduciary News

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Sanford Heisler Sharp, LLP is a public interest law firm representing individuals and groups against corporations and governmental entities. The firm also represents individual citizens when a corporation is committing an act of fraud against the U.S. Government. As a private attorney general, Sanford Heisler Sharp, LLP specializes in employment, Title VII and wage and hour matters; representation of executives and attorneys; qui tam whistleblower cases; consumer fraud; housing discrimination; mass torts; and appellate and complex litigation.

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