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Search Results: misrepresentations
Results 20-30 of about 320
Date: March 25, 2024
The ex-Coastal Equities financial advisor was suspended for 18 months by the Financial Industry Regulatory Authority ( FINRA ) last year after investors accused him of allegedly unsuitably recommending over $2.3M in illiquid alternative investments , overconcentrating their accounts with ...
Date: March 7, 2024
In their six-figure lawsuit, the Tokyo couple is alleging overconcentration, unsuitable investment recommendations, misrepresentations and omissions, and gross lack of supervision.
Date: December 20, 2023
From our San Francisco securities law offices conveniently located in The Embarcadero, we work with clients who were the victims of unsuitable investment recommendations, misrepresentations and omissions, concentration, failure to diversify, supervisory deficiencies, due diligence failures, negligence, and much more ...
Date: December 11, 2023
The ex-financial advisor has been accused of different kinds of stockbroker misconduct, including excessive trading, unauthorized trading, improper options trading, unsuitability, misrepresentations, breach of fiduciary duty, breach of contract, and negligence.
Date: October 25, 2023
Seeking up to $500K in damages, our client is also alleging unsuitable investment recommendations, due diligence failures, misrepresentations and omissions, and gross lack of supervision.
Date: August 30, 2023
UBS To Pay Over $1.4B For Selling Mortgage-Backed Securities Broker-Dealer Held Accountable For Allegedly Negligent Sales Practices The US Department of Justice announced that UBS AG consented to pay $1.435B in penalties to settle claims accusing the financial firm of ...
Date: August 30, 2023
What Should I Do If My Broker Made Misrepresentations About My Investment and I Lost Money?
Date: August 22, 2023
This Chinese investor is alleging the unsuitable investment recommendations of Northstar (Bermuda), essentially 100% concentration of a significant portion of her assets in this offshore investment, misrepresentations and omissions about the risks and certain negative facts that later came to ...
Date: August 8, 2023
The allegations made against the veteran broker include breach of fiduciary duty, fraud, negligence, breach of contract, misrepresentations, selling away, and more.
Date: June 1, 2023
When A Brokerage Firm Violates Investors’ Best Interests Through Alleged Misconduct FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest ...
