Not only that but the firm's brokers have allegedly made misrepresentations and omissions about the risks involving these limited partnerships.

If the information in that prospectus is incorrect, then of course it's been a misrepresentation and the offering of the document.

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.

A whistleblower who will let authorities know about misrepresentations done by the company has protections under state law and under federal law. ... Being an accredited investor does not necessarily mean you are a sophisticated investor and also does not ...

Other alleged misrepresentations and omissions include that Structured CDs would perform like traditional bank certificates of deposit; that the market value would not decrease during the life of the investments; and that the Investment Products were liquid.

If a brokerage firm marketed and sold you regulation D securities, you may be able to pursue damages if they failed to conduct proper due diligence into this offering, unsuitably recommended this investment to you, made misrepresentations or omissions, or ...

Making misrepresentations or omitting key facts , including not properly conveying the risks involved in a unit investment trust, can lead to an investor losing money.

Video Summary: Misrepresentations, Omissions & Fraud Leading to Investment Loss Video Transcript: Simply put a misrepresentation is when someone lies to you, either willfully or even negligently.

At SSEK Law Firm, we have represented thousands of investors and recovered many millions of dollars on their behalf over losses caused by: Misappropriation Broker fraud Misrepresentations and Omissions Negligence Unregistered securities sales Other registration violations Failure to execute trades ...

Common Types of Broker Misconduct or Negligence Making inadequate and unsuitable investment recommendations Churning , which involves excessively trading in a customer’s accounts to earn commissions Making misrepresentations and omissions Overconcentration Registration violations Making unauthorized trades without the investor’s permission ...