Our Experienced ETF Investor Loss Lawyers Represent Retail Investors, Retirees, and Sophisticated Investors Actively Managed Exchange-Traded Fund Ranked Among The “10 Worst” of 2022 According to FinancialPlanning, actively managed exchange-traded funds (ETFs) made its list of the “10 worst-performing US ETFs of 2022.” The compilation is based on year-to-date returns…
Our Skilled ETF Fund Investor Loss Attorneys Continue to Investigate Brokers Over Alerian MLP And Others Morningstar Lists 15 Funds as “Wealth Destroyers” Shepherd Smith Edwards & Kantas, LLP Investor Loss Attorneys (investorlawyers.com) remains hard at work investigating the brokerage firms that may have unsuitably sold investments in Alerian MLP…
蒙受损失的ARKK投资者可联系投资者损失律师 Shepherd Smith Edwards & Kantas LLP 2022-11-04 07:00 1668 分享到： Cetera和其他经纪商目前正面临客户对ETF投资者损失索赔 休斯顿2022年11月4日 /美通社/ — Ark Innovation Exchange-Traded Fund（ARKK）的投资者对他们的损失感到无比惊讶。根据消息来源，其ETF今年截至目前的跌幅超过55%，跑输广泛市场。这种基金的结构复杂，已证明极具风险性和波动性。同时，这种基金属于非多元化，近50%的资产仅投资于10家公司。 遗憾的是，多家经纪公司可能将这一交易所交易基金出售给经验不足的投资者，这些投资者或者风险承受能力差，或者缺少能够应对变化、减少投资影响的资产组合。我们的交易所交易基金投资者损失律师代表金融行业监管局（FINRA）的索赔方，针对Cetera Investment Services和其他向他们营销和出售Ark Innovation ETF的经纪商提出索赔。 中国投资者提交了7位数的FINRA仲裁索赔，指控证券欺诈 Shepherds Smith Edwards and Kantas对Cetera Investment Services及其位于加利福尼亚州圣马特奥的财务顾问Weina Hou提起FINRA诉讼。索赔人是一名中国投资者，她表示她的Cetera经纪商不仅不当推荐了Ark Innovation ETF，使其在这一结构化产品中过度聚集了数十万美元，而且还进行虚假陈述这一交易所交易基金属于低风险投资机会并进行兜售。 这名索赔人此前没有投资经验，不精通英语，并且乐于将资金安全投资于可转让定期存单。Cetera的经纪商Weina Hou与她联系，用中文进行沟通，宣称兜售能给她带来更大回报且无需承担更多损失风险的投资项目。相反，Hou开始推荐高风险的结构化基金。 在我们的专家FINRA仲裁律师的帮助下，这位投资者正在向ETE和Hou寻求高达100万美元的损害赔偿。 联系我们知识丰富的Ark Innovation ETF投资者损失律师 Shepherds Smith Edwards and Kantas的ETF投资者损失律师帮助包括外国国民在内的数千名投资者弥补了因其美国经纪公司的金融顾问实施经纪欺诈或疏忽而所造成的损失。多年来，我们为客户寻回数百万美元的补偿。 如果您在Ark Innovation ETF中遭受重大损失，请立即联系我们的证券律师。 如需安排免费的无义务咨询，请立即致电(866) 901-4162。 消息来源：Shepherd…
Should You Call an ETF Investor Loss Lawyer You Suffered Investor Losses in Ark Innovation ETF Cetera and Other Broker-Dealers Now Facing ETF Investor Loss Claims From Customers Many investors of the Ark Innovation Exchange-Traded Fund (ARKK) have been blindsided by their losses. According to sources, the ETF has lost…
Brokers Allegedly Involved Were Also Harvest Group Wealth Management Investment Advisers Massachusetts Secretary of the Commonwealth William Galvin has filed a complaint against Purshe Kaplan Sterling Investments (PKS Investments), accusing the broker-dealer of failing to supervise its financial advisors. These advisors who were dually registered through another financial firm allegedly…
Sanctuary Wealth Ordered To Pay Over $370K in Restitution to ETF Customers Independent broker-dealer Sanctuary Wealth, formerly David A. Noyes & Co., has been censured by the Financial Industry Regulatory Authority (FINRA). It must now pay a $160K fine and over $370K in restitution for its failure to supervise certain…
Retail Investors Were Allegedly Told To Hold Exchange-Traded Products for Too Long In separate settlements reached with the US Securities and Exchange Commission (SEC), Royal Alliance Associates, Securities America Advisors, Summit Financial Group, Benjamin F. Edwards & Co., and American Portfolio Financial Services / American Portfolio Advisers will pay over…
Barred Ohio Stockbroker Accused of Over 500 Unsuitable Exchange Traded Fund Transactions Dominic Anthony Tropiano, a former registered broker in Ohio, is now facing US Securities and Exchange Commission (SEC) fraud charges. The regulator contends that Tropiano placed more than 500 unsuitable and unauthorized trades in 40 customer accounts belonging…
Structured Product Losses Stun Retail Investors Who Should Never Have Been Told By Brokers To Buy Them The recent market turbulence caused by the coronavirus has caused many investors’ portfolios to suffer huge losses, and nowhere is this more evident as the losses suffered by those who invested heavily in…
ETF Investors Of United States Oil Fund May Not Have Known Full Extent Of Risks Our investment fraud lawyers are offering free case consultations to investors who’ve lost money in the United States Oil Fund (USO) after it dropped 30%. The exchange-traded security continues to make changes to its structure…