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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.
At Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com), our savvy non-traded securities attorneys represent those who have suffered losses because their broker unsuitably recommended these products, made misrepresentations and omissions , or were negligent in other ways.
This may also happen because a financial advisor made misrepresentations and omissions when marketing FS Energy & Power Fund to customers or merely failed to apprise them of the risks they were taking on. That said, brokerage firms should not ...
Many of the brokers who sold Highlands REIT to customers made misrepresentations and omissions when it came to disclosing the risks, such as the poor conditions of the properties involved. Our Highlands REIT investment lawyers represent investors throughout the United ...
Many of these customers have suffered losses because of unsuitable investment recommendations , misrepresentations, and other kinds of broker misconduct or negligence. According to InvestmentNews , just in 2014 and 2015, LPL paid fines and customer restitution of over $70M.
Skilled Broker-Dealer Negligence Lawyers Brokerage firms have a duty to properly supervise their registered representatives and ensure that no unsuitable recommendations, misrepresentations or omissions, or other negligent or wrongful actions have occurred in customers’ accounts.
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 ...
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 ...
