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Search Results: misrepresentations
Results 40-50 of about 318
Date: April 15, 2022
YES Claimants’ FINRA Arbitration Case Alleged Misrepresentations and Negligence A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $1.2M (plus 6% interest from June 28, 2019, through March 7, 2022) over losses they sustained in the UBS ...
Date: March 8, 2022
They are accusing the Texas-based alternative asset manager and investor of life settlements, as well as its directors, of making misrepresentations and omissions in offering documents of its L Bonds.
Date: March 7, 2022
The trusts accused the broker-dealer of misrepresentation , negligence, and fraud in their investor claim.
Date: January 6, 2022
Corpus Christi Financial Advisor is Accused of Negligence, Misrepresentations Our Texas broker misconduct lawyers are looking into claims of losses by customers of Mark Alan Kemp, who is currently a McNally Financial Services registered representative.
Date: October 3, 2021
Many of them are now contending that misrepresentations and omissions were made about the degree of risk involved.
Date: June 14, 2021
Ameriprise Financial Services Investment Advisor Accused of Unsuitability, Misrepresentations If you suffered investment losses while working with Ameriprise Financial Services stockbroker, Kevin Douglas Houser, please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) right away.
Date: June 1, 2021
Florida Energy 11 Investor Alleges Unsuitability, Misrepresentations and Omissions A senior investor says that a David Lerner Associates broker unsuitably recommended that she invest in Energy 11, LP.
Date: May 31, 2021
The firm, in its Form U5, said that this was in connection to a customer complaint accusing the then-broker of excessive trading , making misrepresentations, and other negligence and broker misconduct.
Date: May 28, 2021
Colombian Claimants Allege Negligence, Misrepresentations, and Failure to Supervise Two investors from Bogota, Colombia are pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services for the losses they suffered in Northstar Financial Services (Bermuda).
Date: May 25, 2021
Ex-Florence Capital Advisors Principal is Accused of Breach of Fiduciary Duty Old City Securities registered representative Gregory Alain Hersch is accused of negligence, breach of fiduciary, misrepresentations, and other claims.
