Did You Suffer Portfolio Losses Because Of A Failure To Diversify? Our Skilled Overconcentration Attorneys Help Investors Pursue Financial Recovery Financial advisors should know the importance of properly allocating an investor’s funds among different kinds of financial products, asset classes, or market sectors. Seeing as all investments come with some…
RBC Capital Markets Settlement With FINRA Includes a Fine and Restitution RBC Capital Markets has reached an agreement with FINRA in which the broker-dealer will pay $1M to resolve allegations of overconcentration in customers’ accounts involving high-yield bonds. Without denying or admitting to the self-regulatory organization’s (SRO’s) findings, RBC consented…
Broker-Dealer Allegedly Misled Novice Investor And Placed Funds In Risky Junk Bonds FMS Bonds, formerly called First Miami Securities, is the subject of yet another investor fraud lawsuit. This time it’s for misleading an inexperienced bond investor from the Dallas, Texas area and causing him to overconcentrate his portfolio with…