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Search Results: misrepresentations
Results 30-40 of about 327
Date: December 11, 2023
The ex-financial advisor has been accused of different kinds of stockbroker misconduct, including excessive trading, unauthorized trading, improper options trading, unsuitability, misrepresentations, breach of fiduciary duty, breach of contract, and negligence. Continue Reading ›
Date: October 25, 2023
Seeking up to $500K in damages, our client is also alleging unsuitable investment recommendations, due diligence failures, misrepresentations and omissions, and gross lack of supervision. Continue Reading ›
Date: August 30, 2023
What Should I Do If My Broker Made Misrepresentations About My Investment and I Lost Money?
Date: August 30, 2023
UBS To Pay Over $1.4B For Selling Mortgage-Backed Securities Broker-Dealer Held Accountable For Allegedly Negligent Sales Practices The US Department of Justice announced that UBS AG consented to pay $1.435B in penalties to settle claims accusing the financial firm of ...
Date: August 22, 2023
This Chinese investor is alleging the unsuitable investment recommendations of Northstar (Bermuda), essentially 100% concentration of a significant portion of her assets in this offshore investment, misrepresentations and omissions about the risks and certain negative facts that later came to ...
Date: August 8, 2023
The allegations made against the veteran broker include breach of fiduciary duty, fraud, negligence, breach of contract, misrepresentations, selling away, and more. Continue Reading ›
Date: June 1, 2023
When A Brokerage Firm Violates Investors’ Best Interests Through Alleged Misconduct FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest ...
Date: March 22, 2023
With Silicon Valley Bank Collapse, Our Skilled Securities Fraud Lawyers Are Investigating Brokerage Firms That May Have Made Misrepresentations Just days after Silicon Valley Bank collapsed and was taken over by US banking regulators, sources report that parent company SVB ...
Date: March 12, 2023
While in an ideal world, every broker would only make suitable investment recommendations in line with each customer’s investing profile, risk tolerance level, and financial goals—as well as refrain from making misrepresentations and omissions , overconcentrating a client’s portfolio with ...
Date: February 28, 2023
When Your Investor Loss Are Due To Broker Misrepresentations or Omissions Our Broker Negligence Lawyers Can Help You Explore Your Legal Options Stockbrokers and investment advisers are supposed to provide you with appropriate financial advice.
