Broker-Dealers May Have Unsuitably Sold This Risky Investment To Retail Customers and Retirees If your broker recommended that you purchase shares in Atlas Growth Partners, LP, you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker-dealer. Unfortunately, according to the limited partnership’s filings…
Our Houston Securities Attorneys and Investment Fraud Attorneys Can Help You Explore Your Legal Options Beginning August 26, 2022, the Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Doug Marshall McKelvey. The decision comes after the ex-Texas financial advisor refused to provide the information requested by the…
Our Skyloft Austin Investment Loss Lawyers Represent Investors in Recouping Their Losses If you are a Skyloft Austin investor, you may be grappling with the losses you suffered in this real estate private placement deal that you were led to believe would earn you regular dividends while also providing you…
Why You Should Contact A Seasoned Retirement Loss Attorney Right Away Unfortunately, retirees and older investors are especially vulnerable to significant investment losses. This is why it is so important that your broker only markets products or investment strategies to you that are suitable for you given your investing profile,…
State Securities Regulator Seeks to Ban Former Capital Planning Group Investment Adviser Massachusetts securities regulator William Galvin has fined MassMutual broker-dealer subsidiary MML Investors Services $250K for its alleged failure to supervise its former registered representative Charles Jonathan Evan. The ex-Wellesley, MA broker is also a former registered investment adviser…
Broker-Dealers May Have Not Fully Apprised Hedge Fund Investors of the Risks According to Bloomberg, sources report that on July 18, 2022, Legion Strategies suspended investor redemptions. The hedge fund is managed by Anthony Scaramucci’s Skybridge Capital. Scaramucci was a communications director for former US President Trump for eleven days…
Ex-Windsor, Georgia Investment Adviser Was Fired by Hamilton Investment Counsel and LPL The US Securities and Exchange Commission (SEC) has filed civil charges against Eric Shea Hollifield, a former LPL Financial broker and registered investment adviser with Hamilton Investment Counsel, LLC in Georgia. The regulator contends that he allegedly misappropriated…
Broker-Dealers Sold Private Placement Shares In Texas Luxury Student Housing To Retail Customers, Including Retirees Our Texas brokerage firm of investment lawyers and arbitration attorneys are looking into claims of losses involving Nelson Partners’ Skyloft Austin investors. Many of those who invested in this troubled luxury student housing building close…
Structured Products Are Not Suitable for Most Retail Investors Investment Lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are looking into claims of losses involving JPMorgan Chase Auto Callable Contingent Interest Notes. Which is connected to the S&P GSCI® Crude Oil Index Excess Return (SPGCCLP). This index tends to…
Regulator Seeks To Protect Nearly $1B of Investor Assets From Founder Accused of Over $1.8B Ponzi Scam. The US Securities and Exchange Commission (SEC) and court-appointed monitor Joseph Gardemal recommend the appointment of receivership to protect almost $1B of investors’ assets from GPB Capital Holdings owner and founder David Gentile. …