Unsuitable Investment Advice
James R. Herrington v. Merrill Lynch. Pierce Fenner & Smith, Inc. NASD Dispute Resolution No. 05-05529 In this matter, we represented a retired employee of UPS who held over $ 1.8 million in UPS stock that he had acquired over the years under certain employee stock plans. Upon retirement, … Learn More »
Life Insurance Sales Practices
William and Conielyn Abernathy v. New England Securities Corp. et al , CT- 001712-03 (Shelby Co. Cir. Court, Tennessee 2005) In this action our firm represented a middle age couple who had been sold numerous variable whole life insurance policies from New England Life Insurance. Although they … Learn More »