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At SSEK Law Firm, we have represented thousands of investors and recovered many millions of dollars on their behalf over losses caused by: Misappropriation Broker fraud Misrepresentations and Omissions Negligence Unregistered securities sales Other registration violations Failure to execute trades ...
The SRO also alleged misrepresentations and omissions .
Brokers and Advisors Made Misrepresentations and Omissions to Steepener Customers Steepeners are not just complex investments, but also they are difficult to explain or understand, which is why so many investors end up getting blindsided when they do lose money. ...
Alleging unsuitability, misrepresentations and omissions, overconcentration, gross negligence, and other claims, they are pursuing up to $500K in damages.
A much earlier customer dispute involving Turley from 1999, seeking $49K in damages while alleging misrepresentations, was denied.
A broker may try to conceal that they are selling away, perhaps even lying to both their firm and their customers by making misrepresentations and omissions .
Brokers Made Misrepresentations About The Risks Certain kinds of real estate investment trusts can be suitable in small quantities for some investor portfolios seeking real estate exposure.
These losses may have been a result of unsuitability, misrepresentations and omissions , overconcentration, and other types of financial advisor negligence.
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.
Many of these investors are alleging different types of securities fraud : unsuitability, misrepresentation, breach of fiduciary duty, failure to supervise, negligence, and other claims.