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Search Results: misrepresentations
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Many investors contend that their financial advisors made misrepresentations , causing them to think that this was a safe, income generating investment.
Not only that but the firm's brokers have allegedly made misrepresentations and omissions about the risks involving these limited partnerships.
A much earlier customer dispute involving Turley from 1999, seeking $49K in damages while alleging misrepresentations, was denied.
The Act established laws against fraud and misrepresentation involving the markets. ... Some of the allegations may include: Unsuitability Misrepresentations and omissions Churning Selling away Overconcentration Failure to supervise Negligence Margin account Broker fraud Unauthorized trading Breach of fiduciary duty ...
The SRO also alleged misrepresentations and omissions .
A broker may try to conceal that they are selling away, perhaps even lying to both their firm and their customers by making misrepresentations and omissions .
Many investors may not have been apprised of the risks involved and were the victims of misrepresentations and omissions by their brokers.
Western International Securities Broker Peter Steege in Denver, CO With 21 disclosures noted in his CRD, Steege is accused of concentration, unsuitability, and misrepresentations that allegedly caused investors losses.
We work with investors in the United States and abroad with claims against US-based firms in cases alleging unsuitability, churning, unauthorized trading, misrepresentations and omissions, failure to supervise, and other types of securities fraud.
Alleging unsuitability, misrepresentations and omissions, overconcentration, gross negligence, and other claims, they are pursuing up to $500K in damages.