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Search Results: misrepresentations
Results 310-320 of about 329
Date: February 9, 2009
In the US District Court for the Southern District of Texas, Judge Nancy Atlas found that the plaintiffs met their burden when pleading material misrepresentations and omissions in Superior’s registration statement. She denied the defendants’ request to dismiss the complaint.
Date: February 2, 2009
If you believe that you were a victim of investor fraud or broker dealer misrepresentation and that these inappropriate actions caused you to sustain investor losses, you may be entitled to the recovery of those losses. Related Web Resources: Ohio ...
Date: February 1, 2009
Texas securities laws are committed to prohibiting securities fraud and misrepresentation during securities sales . The state laws also offer sanctions and remedies in the event of violations. Continue Reading ›
Date: November 25, 2008
The plaintiffs also claim that because of the firm’s misrepresentations, omissions, and fraudulent concealments, they acquired Hartford stocks at artificially inflated prices. They filed their lawsuit soon after then-New York Attorney General Eliot Spitzer filed a lawsuit against Marsh, Inc., ...
Date: November 12, 2008
The married couple accused Merrill Lynch and several of its employees of alleged deceit, fraud, conspiracy, deceptive practices, misrepresentation, obstruction of justice, material omissions, unauthorized transactions, unsuitable investments, gross negligence, breach of fiduciary duty, and account management related to their ...
Date: August 28, 2008
TIAA-CREF Enterprises Inc. is once more facing claims of negligent misrepresentation and breach of fiduciary duty following the US Court of Appeals for the Second Circuit’s reinstatement of the claims.
Date: August 20, 2008
State Street Sued Over Allegations of Misrepresentation Related to Mortgage-Backed Securities
Date: August 15, 2008
Examples of common claims involving broker misconduct: • Unsuitability • Misrepresentation • Overconcentration • Omissions • Churning • Failure to Supervise • Failure to Execute Trades • Breach of Fiduciary Conduct • Breach of Contract • Negligence • Breach of ...
Date: July 16, 2008
Scottrade Inc. agreed to pay a $950,000 civil penalty to settle Securities and Exchange Commission charges that it made fraudulent misrepresentations to clients related to the execution of Nasdaq pre-open orders. The brokerage firm is not admitting to or denying ...
Date: July 1, 2008
The claims cite numerous omissions and misrepresentations in mutual funds that the brokerage firm had underwritten, including those involving Schwab YieldPlus Funds Investor Shares (SWYPX) and the Schwab YieldPlus Fund Select Shares (SWYSX).
