June 2018

Wealth Management Firm Resolves Division of Securities Dispute

North America - United States

A state securities regulator threatened to revoke a wealth management firm's investment advisory license on the basis of the firm's recommendations of third-party promissory notes. Faegre Baker Daniels successfully advocated and negotiated, resulting in a favorable settlement without monetary sanctions and enabling the wealth management firm to retain its investment advisory license.

Services & Industries

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