D’Ambrosio LLP successfully obtains a No Action Letter for our client following a three-year investigation by FINRA’s Department of Enforcement. Nationally, FINRA has focused on the sales of fraudulent instruments by Future Income Payments, LLC (FIP) of Nevada. Numerous financial professionals have been indicted or disciplined for the sale of FIP products across the United States. Through an exhaustive investigation, we provided detailed, strategic evidentiary analysis and rebuttal on behalf of our client to FINRA investigators that established our client’s lack of culpability in the nationwide scheme. We also successfully defended collateral claims of selling away and unreported outside business activities.
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