Bass, Berry & Sims attorney Chris Lazarini analyzed a case in which a former investment advisor at UBS sought to prevent the company from collecting on promissory notes the advisor owed to UBS upon ...

A Colorado registered investment advisor has agreed to pay nearly $1.2 million in penalties to settle SEC fraud charges that she fraudulently raised millions of dollars from nearly two dozen investors ...

The Financial Industry Regulatory Authority has barred a Texas advisor for selling away from his firm, saying he engaged in sales of almost $2 million in promissory notes without telling his ...

Robert A. Daly was part of a superstar team of brokers who left Morgan Stanley in 2023 to join First Republic right before the regional bank's collapse. Now Daly, who was barred from the industry last ...

You have to spend money to make money, as the old saying goes. But sometimes you have to borrow money to spend money, too. “It’s really the most important legal document that establishes the ...

Q: I used to work for a broker-dealer and they sued me in arbitration for failing to repay a promissory note related to what I thought was simply a bonus but which I later found out was actually ...

A Tennessee-based financial advisor and ordained minister on Wednesday was barred from the securities industry by the Securities and Exchange Commission, which had charged the advisor, Donald A.

If you borrow or lend money, a promissory note sets the terms and details of your loan. Though it might seem like another boring document to be skimmed quickly, it's a key component of loans with very ...

A promissory note is a legal document representing a binding contract in which one party loans a fixed amount of money to another party. The document contains the loan's repayment schedule, any ...

Bass, Berry & Sims attorney Chris Lazarini examined further developments in a case involving a former UBS investment advisor’s attempt to prevent the company from collecting on promissory notes the ...

Add Yahoo as a preferred source to see more of our stories on Google. If you borrow or lend money, a promissory note sets the terms and details of your loan. Though it might seem like another boring ...

Cash might be considered king, but it isn’t realistic to pay cash for every purchase in your life, such as buying a home or paying for a large renovation project. When buying a house, you may want to ...