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Search Results: misrepresentations
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The Act established laws against fraud and misrepresentation involving the markets. It created greater transparency in financial statements so that investors could make better decisions about their investments. One year later, the Securities Exchange Act of 1934 was enacted to ...
Misrepresentations and Omissions Brokers and investment advisors are obligated only to make investment recommendations that are in a customer’s best interests.
Our Practice Areas Breach of Fiduciary Duty Churning Failure to Supervise Financial Product Failures Institutional Investor Claims Investment Loss Recovery Misrepresentation Non-Traded REITS Omissions Overconcentration Professional Trader Claims Unsuitability Do You Need to Recover Your Losses?
A whistleblower who will let authorities know about misrepresentations done by the company has protections under state law and under federal law. Watch Video What is the difference between sophisticated and accredited investors?
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 ...
Contrary to what some may think, high-net-worth investors, accredited investors, and institutional investors can suffer devastating investment losses due to unsuitable investment recommendations, overconcentration, or misrepresentations and omissions by their financial advisors.
Making misrepresentations or omitting key facts , including not properly conveying the risks involved in a unit investment trust, can lead to an investor losing money.
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 ...
