Did You Suffer Investor Losses While Working With Cetera Broker Colin Kelty? Our Chicago Financial Advisor Negligence Attorneys Are Investigating Shepherd Smith Edwards and Kantas (investorlawyers.com) is speaking to investors who sustained losses while working with Illinois broker Colin Christy Kelty, who has been a registered representative with Cetera Investment Services…
蒙受损失的ARKK投资者可联系投资者损失律师 Shepherd Smith Edwards & Kantas LLP 2022-11-04 07:00 1668 分享到： Cetera和其他经纪商目前正面临客户对ETF投资者损失索赔 休斯顿2022年11月4日 /美通社/ — Ark Innovation Exchange-Traded Fund（ARKK）的投资者对他们的损失感到无比惊讶。根据消息来源，其ETF今年截至目前的跌幅超过55%，跑输广泛市场。这种基金的结构复杂，已证明极具风险性和波动性。同时，这种基金属于非多元化，近50%的资产仅投资于10家公司。 遗憾的是，多家经纪公司可能将这一交易所交易基金出售给经验不足的投资者，这些投资者或者风险承受能力差，或者缺少能够应对变化、减少投资影响的资产组合。我们的交易所交易基金投资者损失律师代表金融行业监管局（FINRA）的索赔方，针对Cetera Investment Services和其他向他们营销和出售Ark Innovation ETF的经纪商提出索赔。 中国投资者提交了7位数的FINRA仲裁索赔，指控证券欺诈 Shepherds Smith Edwards and Kantas对Cetera Investment Services及其位于加利福尼亚州圣马特奥的财务顾问Weina Hou提起FINRA诉讼。索赔人是一名中国投资者，她表示她的Cetera经纪商不仅不当推荐了Ark Innovation ETF，使其在这一结构化产品中过度聚集了数十万美元，而且还进行虚假陈述这一交易所交易基金属于低风险投资机会并进行兜售。 这名索赔人此前没有投资经验，不精通英语，并且乐于将资金安全投资于可转让定期存单。Cetera的经纪商Weina Hou与她联系，用中文进行沟通，宣称兜售能给她带来更大回报且无需承担更多损失风险的投资项目。相反，Hou开始推荐高风险的结构化基金。 在我们的专家FINRA仲裁律师的帮助下，这位投资者正在向ETE和Hou寻求高达100万美元的损害赔偿。 联系我们知识丰富的Ark Innovation ETF投资者损失律师 Shepherds Smith Edwards and Kantas的ETF投资者损失律师帮助包括外国国民在内的数千名投资者弥补了因其美国经纪公司的金融顾问实施经纪欺诈或疏忽而所造成的损失。多年来，我们为客户寻回数百万美元的补偿。 如果您在Ark Innovation ETF中遭受重大损失，请立即联系我们的证券律师。 如需安排免费的无义务咨询，请立即致电(866) 901-4162。 消息来源：Shepherd…
Ex-Cetera Investment Services Broker Xinxin Lu May Have Overconcentrated Couple’s Account in Obscure, Offshore Investment Our seasoned securities lawyers have filed a Financial Industry Regulatory Authority (FINRA) arbitration case against Cetera Investment Services on behalf of two Chinese investors. These investors seek up to $5M in damages for losses they…
Cetera Investment Services Broker Chang Vung Named in Six-Figure Non-Traded REIT Claim A self-employed New York investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Cetera Investment Services and its broker Chang Jen Vung. The claimant sustained losses in non-traded real estate investment trusts. The claimant is…
Several East West Bank Customers Worked With Cetera Broker Linda Fang Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) is continuing to investigate claims of losses involving East West Bank customers who invested in Northstar Financial Services (Bermuda) products. East West Bank had signed a partnership agreement with…
Fort Lauderdale, Florida Financial Advisor is Named in Six-Figure Customer Dispute Robert Brian Wolfe, who was a Goldman Sachs broker from July 2020 to October 2021, was recently dismissed by the broker-dealer. His firing came following allegations related to client communications involving market valuations and portfolio performance, as well as…
Hospitality Investors Trust Was One of the REITs Marketed Cetera Advisors Network broker Jeffrey Gerard Meyers, an Overland Park, Kansas financial advisor, is named in two pending customer disputes. The claimants are accusing him of making unsuitable investment recommendations involving non-liquid real estate investment trusts (REIT). One of the products…
Customer’s FINRA Arbitration Hearing Seeking Up to $500K Will Take Place in Los Angeles Our broker fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) have filed a FINRA arbitration claim against Cetera Investment Services. A very elderly Chinese widow who entrusted the firm to keep…
Retiree Suffers Significant Losses in PB Investment Holdings on Recommendation of Cetera Financial Advisor A Chinese national has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim over losses she suffered after a Cetera Investment Services advisor unsuitably recommended and sold a PB Investment Holdings annuity to her. The Bermuda-based…
Ex-Fort Meyers, Florida Financial Advisor Misappropriated $1.02M From Investors A former Cetera Advisors Network registered representative, David Aaron Rockwell, has been sentenced to 63 months in federal prison for multiple counts of bank fraud and wire fraud. According to the US Justice Department, Rockwell defrauded investors of over $1.02M and…