Investment Bankers often spend countless hours advising their clients on mergers, acquisitions and other capital raising strategies. Analysts work tirelessly identifying and gathering proposals, marketing at roadshows, and working around the clock to ensure their clients receive the best possible deal. However, after receiving the benefit of the bargain, clients claim ignorance as to the…
Continue reading ›On February 2, 2026, Inspired Healthcare Capital (IHC) and 160 affiliated entities filed for Chapter 11 bankruptcy protection in the Northern District of Texas. In connection with this filing, distributions were halted in mid-2025. The estimated exposure in the market is approximately $1.2 billion. Brokerage firms have seen an uptick in FINRA arbitration claims being filed related…
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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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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…
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Alexandre Maltez (Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm) – Broker Alexandre Maltez (Maltez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has a recent customer complaint alleging that Maltez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints. The Damage request is $50,000. Alexander Creede (Independent Financial Group, LLC…
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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…
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