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Search Results: misrepresentations
Results 130-140 of about 329
Date: July 12, 2016
Now, FINRA has barred him for a number of causes, including giving false information to clients about variable annuity sales, the fraudulent misrepresentation and omission of key facts to customers about the sales, providing false information in VA-related documents, and ...
Date: July 6, 2016
Goldman, which argued that the fund’s losses were caused by the demise of the housing market and not because of any alleged misrepresentations, claimed that the Australian hedge fund filed its CDO fraud lawsuit to try to get the bank ...
Date: June 15, 2016
It was just recently that FINRA charged MetLife (MET) $25M for making misrepresentations and omissions related to variable annuity sales. New products were marketed as less costly and better than the variable annuities that clients already owned when, in truth, ...
Date: June 3, 2016
Park is accused of using investor funds and making misrepresentations about her investment history, as well about the profits the investments were supposed to have made. Since 2012, Park has raised at least $14M from over 30 investors, sustaining $16M ...
Date: May 4, 2016
(MSI) would pay a $20M fine as well as $5M to customers for negligent and material misrepresentations that it purportedly made related to variable annuity replacement applications.
Date: April 13, 2016
The two men are accused of making misrepresentations that were fictitious to hide their scheme from investors. Elm and Naqvi are charged with wire fraud, securities fraud, and conspiracy. Continue Reading ›
Date: April 9, 2016
The bank claims there were misrepresentations and omissions regarding loan-to value ratios. The lender says it received inaccurate information about the underlying loans related to how much homeowners had borrowed, the securities’ credit ratings, and the percentage of properties that ...
Date: April 3, 2016
At such gatherings there may be fake products sold, misrepresentations about risks and returns made, conflicts of interest related to the products for sale and the information provided, and advertising collateral that is misleading or inaccurate. Unfortunately, older investors continue ...
Date: March 13, 2016
Long-term-care insurance company Genworth has reached a $219M settlement with plaintiffs of a class action securities case claiming misrepresentations related to its business.
Date: March 3, 2016
They also purportedly made misrepresentations regarding the fees that the clients would be charged. Focus Capital had been registered with the SEC until 2012 when it registered with New Hampshire instead.
