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Search Results: misrepresentations
Results 20-30 of about 328
Date: August 18, 2024
Unfortunately, unsuitable recommendations, misrepresentations and omissions, concentration, and best interest violations by stockbrokers lead to many portfolio losses that could have otherwise been avoided, which is why we are here to help.
Date: July 15, 2024
The claimant, who made allegations of unsuitable investment recommendations and misrepresentations and omissions, settled their claim for over $94K. Continue Reading ›
Date: June 17, 2024
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 ›
Date: May 19, 2024
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.
Date: May 1, 2024
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 ...
Date: April 30, 2024
This is considered making misrepresentations and omissions . Now, the Washington State couple is seeking up to $500K in damages from Arete. Continue Reading ›
Date: April 10, 2024
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, ...
Date: March 25, 2024
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.
Date: March 25, 2024
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 ...
Date: March 25, 2024
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 ...
