Misrepresentations and omissions often disguise the risk associated with a particular investment. ... The concept is of utmost importance in securities matters as misrepresentations and omissions are specifically codified in both Federal and State securities legislation. ... These misrepresentations/omissions would ...

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. ... The results of which may be debt coverage misrepresentations (as what ...

This may entail tactics such as unauthorized trading, misrepresentation, pressuring sales tactics and more. There are a few common types of stockbroker fraud: Omissions or misrepresentation: this occurs when a brokerage firm or broker misrepresents facts or does not disclose ...

Millions of Americans across the United States have fallen victim to broker misconduct and other instances of investor claims including negligence, churning and misrepresentation. ... We represent investors victimized by broker misconduct, negligence on behalf of financial institutions, churning, misrepresentation ...

Often the misrepresentations or omissions disguise the risk associated with a particular investment.

Scottrade Inc. agreed to pay a $950,000 civil penalty to settle Securities and Exchange Commission charges that it made fraudulent misrepresentations to clients related to the execution of Nasdaq pre-open orders. ... The SEC alleges that Scottrade made fraudulent misrepresentations ...

District Court for the Northern District of California is allowing a securities lawsuit by an investor claiming negligent misrepresentation over allegedly flawed offering documents in bonds to raise money for a private school to proceed.

District Court for the Middle District of Florida has decided not to throw out a securities fraud lawsuit filed by a couple of unsophisticated investors contending that allegedly false oral misrepresentations were made to them causing them to think that ...

According to the regulator, DT Securities and Newton engaged in negligent misrepresentations involving private placements. ... The complaint against Markel and DT Ventures Real Estate Investments accused them of performing certain activities without the required real estate license, as well ...

The office of Massachusetts Secretary of the Commonwealth William Galvin has fined LPL Financial (LPLA) $1M because the firm’s financial advisers allegedly made misrepresentations to consumers.