Risky Investments: Investing a conservative senior's funds in risky investments, such as private placements, nontraded real estate investment trusts (nontraded REITs), exchange-traded funds (ETFs), business development companies (BDCs), structured products, oil and gas investments, collateralized loan obligations (CLOs), or collateralized ...

August 2017: FINRA fined the brokerage firm $100K for allegedly failing to supervise the sale of inverse and leveraged exchange-traded funds. ... The FINRA arbitration claims allege unsuitability, unauthorized trading, breach of fiduciary duty, negligence, and broker fraud.

We work with investors seeking to recover investment and bond losses caused by unsuitable investment recommendations, misrepresentations and omissions, churning, unauthorized trading, and other kinds of broker misconduct or negligence. ... The claimants accused the broker-dealer of unsuitably recommending non-traded ...

Filing a FINRA Arbitration Claim Against Edward Jones If you are an Edward Jones customer and you suspect that your broker or investment advisor caused your losses by making an unsuitable recommendation , engaging in misrepresentations and omissions , overconcentrating ...

Galvin determined that the broker-dealer failed to review its financial advisors' social media or detect excessive trading in their accounts. $4M was to settle the allegations and $750K was because the firm didn’t register more than 470 of its broker-dealer ...

This means only employing a trading strategy or making investment recommendations that fully align with the investor’s goals, portfolio, and risk tolerance level. Unauthorized trading , misappropriation, misrepresentations and omissions , churning , overconcentration , breach of contract , selling ...

BofA Securities, which is Bank of America’s multinational investment banking division, offers services related to mergers, acquisitions, lending, equity and debt capital markets, risk management, trading, liquidity and payments management, and research. ... It also runs the electronic trading platform, ...

Instead, they are represented as stable or a good way to diversify as they do not typically change their value since they are not traded on any exchange. ... You may be able to recover your savings if any of ...

Each lawyer and staff member of our firm is devoted to assisting investors to recover losses caused by unsuitability, over-concentration, fraud, misrepresentation, self-dealing, unauthorized trades or other wrongful acts, whether intentional or negligent. ... Kalos and Stivers recommended that a ...

Explaining the term “rescission” with an example of rescission offers with a non-traded REIT. ... Watch Video What is unauthorized trading? Unauthorized Trading, Broker Fraud and Investment Loss Watch Video Where will a FINRA securities arbitration take place?