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: Securities Law Prof Blog

Former Advisers Sue Utah for Malicious Prosecution

By Securites Lawprof

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Investment News reports that two former independent financial advisers are suing the State of Utah and its Division of Securities, alleging violations of due process and civil rights. In essence, they charge that the regulators drummed them out of the...

Full post as published by Securities Law Prof Blog on January 12, 2010 (boomark / email).

Bloggers, promote your law blog by nominating your blog for inclusion in USLaw.com's Law Blog Directory and RSS Reader. Benefits described.
Lawsuits and Settlements

Stockbrokers and Financial Advisers
alleging careless mistakes or intentional fraud.

John Vermillion and Associates LLC et al.
allegedly misrepresented themselves as qualified financial advisers to sell living trusts and exploit senior citizens.

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