On behalf of Girard Bengali, APC on December 30, 2019
Table of Contents Individuals BarredCristina Sabengsy (CRD #6304970, Gilberts, Illinois)October 2, 2019 – An AWC was issued in which Sabengsy was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Sabengsy consented to the sanction and to the entry of findings that she forged the signatures of her...
On behalf of Girard Bengali, APC on November 30, 2019
Table of Contents Individuals Barred Stefan Anton Pastor (CRD #5141819, Fort Lauderdale, Florida) September 4, 2019 – An AWC was issued in which Pastor was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Pastor consented to the sanction and to the entry of findings that he provided...
On behalf of Girard Bengali, APC on October 30, 2019
Table of Contents Individuals Barred Beth Ann Hamilton (CRD #3092302, Port Matilda, Pennsylvania) August 1, 2019 – An AWC was issued in which Hamilton was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Hamilton consented to the sanction and to the entry of findings that she refused...
On behalf of Girard Bengali, APC on October 22, 2019
Some leading investment advisors are in hot water over losing clients tens of millions of dollars in complex investment schemes known as Yield Enhancement Strategies (YES) or Collateral Yield Enhancement Strategies (CYES). UBS Group AG along with Merrill Lynch, Morgan Stanley and others are all accused of selling the strategy to high net worth individuals...
On behalf of Girard Bengali, APC on August 29, 2019
Girard Bengali, APC, is currently representing clients of UBS who lost money in the YES (Yield Enhancement Strategy). YES was marketed as a safe investment strategy, but unfortunately it was much riskier than investors anticipated and many have lost significant investments.You may be entitled to a recovery of your losses - contact our SEC &...
On behalf of Girard Bengali, APC on August 7, 2019
In an article published today at FinancialPlanning, Girard Bengali, APC partners Robert Girard and Omar Bengali were quoted in relation to the recent award for their client, Laguna Financial Group. The panel ordered Schwab to pay $347,000 in damages and legal fees to Joseph Ziomek, who accused the firm and Purshe Kaplan Sterling Investments of...
On behalf of Girard Bengali, APC on August 6, 2019
Firm partners, Robert Girard and Omar Bengali, were today quoted in an article about the firm's recent victory for their client. Summary: Charles Schwab & Co. Inc. ordered to pay $347,000 to Laguna Financial Group Former chief compliance officer of the firm secretly established her own business to compete with LFG while still working at...
On behalf of Girard Bengali, APC on July 23, 2019
Our managing partner, Robert Girard, was quoted extensively in this article about a client being represented by Mr. Girard. The lawsuit involves a former wirehouse broker who is suing his former employer for wrongful termination. Read the full post here.
On behalf of Girard Bengali, APC on June 3, 2019
On behalf of Girard Bengali, APC on Monday, June 3, 2019. As Wall Street's standards continue to change and evolve, many financial advisers in Los Angeles and around the country are being terminated for relatively minor infractions. Once they receive a Form U5, they must come up with a long-term plan for getting back on their feet....
On behalf of Girard Bengali, APC on May 29, 2019
On behalf of Girard Bengali, APC posted on Friday, May 10, 2019. It has become almost customary for California companies to offer executives and other professionals in the Los Angeles area what is referred to as a severance agreement when they decide to let these types of employees go. Severance agreements are possible even when...
Tags: Employment Law Counseling, Securities Arbitration And Litigation
