He made misrepresentations and unsuitably sold these investments to an older Utah couple. FINRA Arbitration Attorneys Fighting For Investors Who Have Been The Victim of Brokerage Firm Negligence SSEK Law Firm has recovered many millions of dollars for thousands of ...

This may involve the fund’s money managers making poor investment choices, to their benefit but to the detriment of investors, or issuing misrepresentations and omissions about a mutual fund.

As a matter of fact, 90% of the those who have retained our legal services have recovered all or part of their investment losses caused by one or more of the following: Misrepresentations and Omissions Negligence Unsuitability Margin account abuse ...

Common Types of Broker Misconduct or Negligence Making inadequate and unsuitable investment recommendations Churning , which involves excessively trading in a customer’s accounts to earn commissions Making misrepresentations and omissions Overconcentration Registration violations Making unauthorized trades without the investor’s permission ...

FINRA arbitration allows investors to pursue damages directly from the brokerage firms whose due diligence failures, misrepresentations and omissions , poor recommendations, and other misconduct or negligence caused them financial harm.

Western International Securities Broker Peter Steege in Denver, CO With 21 disclosures noted in his CRD, Steege is accused of concentration, unsuitability, and misrepresentations that allegedly caused investors losses.

We work with investors seeking to recover investment and bond losses caused by unsuitable investment recommendations, misrepresentations and omissions, churning, unauthorized trading, and other kinds of broker misconduct or negligence.

Each lawyer and staff member of our firm is devoted to assisting investors to recover losses caused by unsuitability, over-concentration, fraud, misrepresentation, self-dealing, unauthorized trades or other wrongful acts, whether intentional or negligent. We have handled over a thousand cases ...

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 ...

If the information in that prospectus is incorrect, then of course it's been a misrepresentation and the offering of the document.