The claimants had alleged unsuitability, misrepresentation, negligence, gross negligence, and breach of fiduciary duty. Wolf, who is no longer a Cornerstone stockbroker, remains a registered investment adviser with this firm. Continue Reading ›

In the broker fraud claim, the estate is alleging best interest violations, unsuitable investment recommendations, misrepresentations and omissions, breach of contract, breach of fiduciary duty, negligence, failure to supervise, and more.

In their FINRA lawsuit, our clients are claiming misrepresentations and omissions, gross mismanagement, negligence, and breach of fiduciary duty that we believe led to not just lost savings but also lost growth of said savings during a period when the ...

This is considered making misrepresentations and omissions . Now, the Washington State couple is seeking up to $500K in damages from Arete. Continue Reading ›

Shepherd Smith Edwards and Kantas Texas Misrepresentations and Omissions Lawyers Is Investigating Ex-BOK Financial Securities Broker Gihan Fernando Texas Stockbroker, Now With Cetera, Has 27 Customer Complaints On His CRD Record If you suffered investment losses while working with Houston, ...

At Shepherd Smith Edwards and Kantas ( investorlawyers.com ), we work with investors against their brokers who engaged in unsuitable investment recommendations, excessive trading, concentration, misrepresentations and omissions, negligence, and more.

Now, he has former financial advisor clients accusing him of unsuitability, breach of contract, negligence, breach of fiduciary duty, due diligence failures, misrepresentations and omissions, and more involving alternative investments. These purportedly included real estate deals that he also owned ...

The ex-Coastal Equities financial advisor was suspended for 18 months by the Financial Industry Regulatory Authority ( FINRA ) last year after investors accused him of allegedly unsuitably recommending over $2.3M in illiquid alternative investments , overconcentrating their accounts with ...

In their six-figure lawsuit, the Tokyo couple is alleging overconcentration, unsuitable investment recommendations, misrepresentations and omissions, and gross lack of supervision. The Shepherd Smith Edwards and Kantas FINRA arbitration Law Firm are representing these international investors and others against both ...

From our San Francisco securities law offices conveniently located in The Embarcadero, we work with clients who were the victims of unsuitable investment recommendations, misrepresentations and omissions, concentration, failure to diversify, supervisory deficiencies, due diligence failures, negligence, and much more ...