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Search Results: misrepresentations
Results 290-300 of about 327
Date: April 13, 2010
The claims allege fraud, conversion, misrepresentation and omissions, and negligence.
Date: April 6, 2010
The SEC accused the Texan of a number of violations, including broker misconduct (such as the making of material misrepresentations when selling and offering securities).
Date: February 2, 2010
The Texas securities fraud claim accuses the defendants of misrepresentations and omissionsrelated to the fund’s deferred tax asset. Other claims, including a 1940 Investment Company Act Section 36(b) claim over tax advisory fees, were dismissed.
Date: January 17, 2010
Also, the court said that seeing as the language used in the parties’ agreement obligated Barclays to substitute or repurchase delinquent representation, Lone Star failed to allege misrepresentation. In 2006, Barclays bought mortgage loans from then-subprime lender New Century Capital ...
Date: December 9, 2009
“These cases often involve misrepresentations and omissions as well as unsuitability, since the investments were sold to clients who sought safety and income,” he added. The claimant filed the arbitration claim accusing UBS of recommending structured products that are not ...
Date: November 3, 2009
This is just another example of material misrepresentations and omissions in the sale of fixed income products, which have become rampant on Wall Street.
Date: September 10, 2009
A few examples of broker misconduct include churning, misrepresentation, negligence, breach of fiduciary duty, and unauthorized trading. Related Web Resources: Read Shapiro’s Letter (PDF) Schapiro Message to B-D CEOs: Watch Your Recruiting Tactics, Research Mag, September 1, 2009 Chairman Mary ...
Date: August 9, 2009
SEC investigators say the senior investment fraud scam occurred between November 1999 and February 2007 and that during appointments conducted with seminar participants, PCS representatives either left out important information or made misrepresentations about variable annuities.
Date: August 7, 2009
The pharmaceutical company’s securities fraud lawsuit accuses the brokerage firm of making misrepresentations that resulted in its purchase of $273 million in ARS. Merrill Lynch underwrote the securities that Teva bought. A day later, Seneca Gaming Corp. filed its own ...
Date: July 22, 2009
According to the plaintiffs, the evaluation reports and the purchase agreements contained material misrepresentations. They also claim that there were material omissions in the documents.
