Skilled Counsel in Municipal bond underwriting misrepresentations Many municipalities and municipal related entities, such as county hospitals, rely on bond issuances to raise capital for their continued operations. Whether it’s a General Obligation Bond or Revenue Bond, the underwriting process ...

Other products are gross misrepresentations of the very nature of the product. One such glaring example is the Principle Protected Note ("PPN") . By the name alone, a reasonable investor would understand that the principal was somehow protected and guaranteed.

Millions of Americans across the United States have fallen victim to broker misconduct and other instances of investor claims, including negligence, churning, and misrepresentation. Victims of investment fraud and broker misconduct are entitled to receive damages to compensate for any ...

Filing a FINRA Arbitration Claim Against Edward Jones If you are an Edward Jones customer and you suspect that your broker or investment advisor caused your losses by making an unsuitable recommendation , engaging in misrepresentations and omissions , overconcentrating ...

You also need a legal team that understands how to prove the particular claims you are making, whether it be unsuitability , churning , misrepresentations and omissions , breach of fiduciary duty , failure to supervise , or another allegation. ...

Other possible grounds for a FINRA arbitration claim involving Newbridge may include misrepresentations and omissions, churning, failure to supervise, and other violations. Call SSEK Law Firm at (800) 259-9010 throughout the US or contact us online .

Examples of Broker Misconduct Below are some of the examples of broker misconduct that an investor may experience: Making unsuitable investment recommendations; Making misrepresentations or omissions when marketing an investment product or strategy to a customer; Overconcentrating an investor’s account ...

Many investors contend that their financial advisors made misrepresentations , causing them to think that this was a safe, income generating investment. This was despite the fact the Benefit Street Partners Realty Trust’s own prospectus specified how high risk this ...

These losses may have been a result of unsuitability, misrepresentations and omissions , overconcentration, and other types of financial advisor negligence.

At Shepherd Smith Edwards and Kantas, we represent investors seeking to recoup damages related to: Financial product failures Stockbroker fraud Negligence Overconcentration Unsuitability Investment adviser misappropriation Misrepresentations and omissions Elder financial abuse Breach of fiduciary duty Failure to supervise Churning ...