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.

They are alleging misrepresentations and unsuitability.

Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) represent clients who have suffered losses because their financial advisor made misrepresentations and omissions , unsuitably recommended , or overconcentrated a customer’s account in exchange-traded notes or some other exchange-traded ...

He made misrepresentations and unsuitably sold these investments to an older Utah couple.

Misrepresentations and Omissions: Even when done unintentionally, leaving out key information about an investment or misrepresenting material facts or risks can cause customers to agree to a transaction or strategy they wouldn't have otherwise.

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 ...

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 ...

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.

Unsuitable investment recommendations , misrepresentations and omissions, and overconcentration in a customer’s account (along with a failure to diversify investments) may also be a result of broker negligence .

Unfortunately, it appears that alleged due diligence failures, unsuitability, misrepresentations and omissions, and broker negligence may have been factors when certain brokers marketed and sold one of these TCA Funds to customers: Continue Reading ›