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The SRO also alleged misrepresentations and omissions .
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 ...
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.
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. ... Investors are allowed to buy certain investments that an ...
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 ...
We work with investors seeking to recover investment and bond losses caused by unsuitable investment recommendations, misrepresentations and omissions, churning, unauthorized trading, and other kinds of broker misconduct or negligence. ... Barred by FINRA in 2020, former First Allied Securities ...
II FS Energy and Power Fund GPB Capital Holdings Private Placement Funds Northstar Healthcare Income Real Estate Investment Trust (REIT) UWT or VelocityShares 3x Long Crude Oil ETN Vida Longevity Fund, LP Northstar Financial Services (Bermuda) Although market volatility can ...
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.
Should we agree to work together, our broker misconduct attorneys would conduct a thorough investigation into the cause of your losses and whether unsuitability, Reg BI violations , misrepresentations and omissions, overconcentration, or negligence was involved.
They are the ones we responsible for the misrepresentations and importantly, the omissions.