Investors who have suffered losses are encouraged to contact us at 1(516) 526 3082 or daniel.dcosta@danieldcostaesq.com for consultation. At D’Costa Law, P.C. our attorneys and staff are experienced in representing investors who have suffered securities losses due to the mishandling of their accounts. Claims may be brought in securities arbitration before FINRA. Our consultations are free of…
Continue reading ›Financial Industry Regulatory Authority (FINRA) is currently investigating investor complaints involving Laidlaw & Company (UK) Ltd. (Laidlaw)[1] for recommending certain small cap investments underwritten or otherwise promoted by the firm. Laidlaw has been involved in the fraudulent promotion of numerous small cap stocks to their clients in violation of their duties to their clients to disclose…
Continue reading ›According to records kept by The Financial Industry Regulatory Authority (FINRA) BrokerCheck CRD, Jessica Pinkard (Pinkard)[1], previously associated with First Citizens Investor Services, Inc., has been permanently barred by FINRA. The related disclosure event leading to Pinkard’s removal from FINRA registration involve First Citizens Investor Services, Inc. discharging Pinkard for “violating the policies of its…
Continue reading ›A former Wells Fargo customer and current client of D’Costa Law, P.C. located in Provo, Utah is asking a court to overturn an arbitration panel ruling denying a $2.5 million damage claim against Wells Fargo. As published in numerous news articles and public court documents, Kenneth Grover is challenging a recent FINRA award where the…
Continue reading ›Financial Industry Regulatory Authority (FINRA) is currently investigating Aegis Capital[1] for costing investors billions of dollars in its role as the underwriter of stocks of small “low grade” companies that were about to be delisted or facing bankruptcy; purportedly, the only reason these companies were able to stay open was because the broker-dealer helped sell these “worthless…
Continue reading ›It can take anywhere from 10 to 15 months to complete the securities arbitration process. We aim to process our claims faster than any other firm because of our unique approach. Claimant’s usually receive their award within a year from when it is filled or accept a settlement in a fraction of that time. We…
Continue reading ›What probably would’ve been lost in the weeds of a Georgia State Court decision vacating a FINRA Arbitration Award has now caught fire and the eyes of the entire financial services and legal community. Judge Belinda E. Edwards, a State Court Judge in Fulton County Superior Court, vacated a 2019 decision in which Wells Fargo…
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