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Search Results: misrepresentations
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Making misrepresentations and omissions . Unfortunately, these investments are often marketed as a “guaranteed” way to make money later on. But what is not always made clear is that the investments in a VA’s subaccount can be aggressively managed, which ...
The firm also must disclose all risks involved and refrain from making any misrepresentations about the financial products or trading strategies that they are marketing.
Not only that but the firm's brokers have allegedly made misrepresentations and omissions about the risks involving these limited partnerships. The oil, gas, and energy sectors of the market can be highly volatile.
SOAEX Investors Lost Money While David Lerner Associates Brokers Earned Commissions There is also growing concern that David Lerner Associates' financial advisors may have made misrepresentations and omissions when marketing Spirit of America Energy Fund to their clients.
At Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com), our savvy non-traded securities attorneys represent those who have suffered losses because their broker unsuitably recommended these products, made misrepresentations and omissions , or were negligent in other ways.
This may also happen because a financial advisor made misrepresentations and omissions when marketing FS Energy & Power Fund to customers or merely failed to apprise them of the risks they were taking on. That said, brokerage firms should not ...
Video Summary: Being an accredited investor does not necessarily mean you are a sophisticated investor and also does not justify any unsuitable recommendations or any misrepresentations when selling an investment. Video Transcript: An accredited investor is an investor who meets ...
They're the ones responsible for the misrepresentation and importantly the omissions. They were required to make suitable recommendations and nontrated REITs are not suitable for most portfolios. Two - you can sell your non-traded REITs to a third party or ...
Unsuitability, Misrepresentations, and Omissions Alleged While Emerson Equity is the managing broker-dealer for GWG L Bonds, it has partnered with many other firms for a cut of the sales commissions. This has led to investors paying around 7-8% to Emerson ...
These losses were possibly due to unsuitability , breach of fiduciary duty , misrepresentations and omissions , supervisory failures, or other types of broker misconduct or negligence.
