Shepherd Smith Edwards & Kantas, LLP Home
We Fight for Investors Cheated by Wall Street
Contact Us Now 
Investor Lawyers Blog
Search Results: misrepresentations
Results 240-250 of about 329
Date: September 28, 2011
Per the SEC, between 4/08 and 8/10, Liskov made misrepresentations to clients to persuade them to move funds they’d placed in securities investments into forex trading.
Date: September 12, 2011
According to the SEC, he engaged in material misrepresentations, the fraudulent and unregistered offering and selling of securities, and the misappropriation of investor funds. Per the commission, Dunn told investors he would place their money with Imperia Invest IBC, which ...
Date: September 6, 2011
The Claimants had accused the financial firm of misrepresentation, negligence, vicarious liability, failure to supervise and violating the Texas Securities Act, the Texas Deceptive Trade Practices Act, and NASD Rules.
Date: August 31, 2011
His securities claim alleged breach of fiduciary duty , fraud, negligent misrepresentation, failure to supervise , intentional misrepresentation and omissions, unauthorized transaction, unsuitable transactions, emotional abuse, elder abuse, and churning related to transactions of unspecified variable annuities.
Date: August 28, 2011
The SEC is accusing the two men of making misrepresentations and omissions to clients about the fund’s investment strategy, returns, risks involved, audited financial statements, and Risher’s criminal past.
Date: August 28, 2011
Once again, Western and Southern Life Insurance Co. is suing Bank of America Corporation for the alleged misrepresentation of mortgage-backed securities that the financial firm sold to the insurer. This time, the plaintiff is seeking $63 million.
Date: August 17, 2011
The plaintiff is accusing the broker of violating state laws and negligent misrepresentation. Allstate believes that Goldman marketed the MBS as low-risk with strict underwriting criteria even though the latter knew the lenders had stopped abiding by the guidelines and ...
Date: July 29, 2011
Other examples of broker misconduct that could be grounds for a Houston securities fraud case include unsuitability, omissions and misrepresentations, churning, overconcentration, failure to execute trades, breach of promise, breach of contract, failure to supervise, breach of fiduciary duty, margin ...
Date: July 23, 2011
Following SEC charges that they used material misrepresentations and omissions to misappropriate about $8.7 million from clients, family, and friends, Sam Otto Folin, Benchmark Asset Managers LLC and Harvest Managers, LLC have agreed to pay $11.6M in disgorgement, civil penalties, ...
Date: July 9, 2011
According to regulators, between 1997 and 2005, members of JPMorgan’s municipal derivatives desk made misrepresentations and omissions in the secret deals, which impacted the prices the governments ended up paying while jeopardizing the tax-exempt position of billions of dollars worth ...
