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Search Results: misrepresentations
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The firm also must disclose all risks involved and refrain from making any misrepresentations about the financial products or trading strategies that they are marketing.
Not only that but the firm's brokers have allegedly made misrepresentations and omissions about the risks involving these limited partnerships. The oil, gas, and energy sectors of the market can be highly volatile.
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 ...
The SRO also alleged misrepresentations and omissions . Meanwhile, FINRA suspended founder David Lerner from the securities industry for a year, which was to be followed by a two-year suspension from being able to serve in a principal role. He ...
Alleged Supervisory Failures and Misrepresentations and Omissions Lead to Regulatory Sanctions According to BrokerCheck , RBC Capital Markets has 449 disclosures. This includes 326 regulatory events, 2 civil events, 7 bond events, and 114 arbitration claims.
We work with investors in the United States and abroad with claims against US-based firms in cases alleging unsuitability, churning, unauthorized trading, misrepresentations and omissions, failure to supervise, and other types of securities fraud. SSEK Law Firm has recovered many ...
The firm must approve all communications to ensure financial advisors/brokers are not making misrepresentations. Given that the means of transmission could be emails, texts, Twitter and Facebook messages, supervisors must be extra diligent. They must be watchful of brokers’ communications ...
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.
