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Search Results: misrepresentations
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It involves misrepresentations/omissions and a lack of due diligence on the part of the bank/brokerage firm. Overseas investors bring assets to the United States, seeking a safe haven for the family’s savings.
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 ...
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.
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.
Often the misrepresentations or omissions disguise the risk associated with a particular investment. A broker has a duty to fairly disclose all of the risks associated with an investment.
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 ...
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.
Misrepresentations and Omissions Brokers and investment advisors are obligated only to make investment recommendations that are in a customer’s best interests.
