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Search Results: misrepresentations
Results 60-70 of about 318
Date: September 28, 2020
He faces allegations of unsuitability, misrepresentations, and lack of due diligence related to the claimants’ United Development Funding IV (UDF IV) losses.
Date: September 15, 2020
Pending Allegations Likely Involve UBS YES Strategy Frederick Maximillian Kort, a former UBS Financial (UBS) broker, is facing allegations that he made misrepresentations when making unsuitable investment recommendations to customers.
Date: August 24, 2020
The latest claim, brought in June, alleges elder abuse, misrepresentation, excessive trading, and unsuitable investment recommendations.
Date: June 10, 2020
The investors contend that their UBS broker made misrepresentations and omissions when recommending this unsuitable investment strategy to them and discouraged them from leaving the YES program even as their losses mounted.
Date: December 26, 2019
Barred Woodbury Financial Services Broker Accused of Misrepresentations and Fraud If you are an investor who lost money while Robert Hayes Hoffman was your financial representative, our broker misconduct lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) would ...
Date: October 2, 2019
The Commission is accusing the defendants of the following: Misrepresentations involving the trading strategy’s ability to make money Continue Reading ›
Date: September 16, 2019
Now, the claimant is alleging omissions, misrepresentations, gross lack of supervision, unsuitable recommendations, and due diligence failures.
Date: September 13, 2019
She is alleging unsuitable recommendations, omissions, misrepresentations, gross negligence, due diligence failures, breach of fiduciary duty, negligence, and inadequate supervision.
Date: September 6, 2019
Among the false claims and misrepresentations that the defendants allegedly made while soliciting investors were that: Continue Reading ›
Date: September 3, 2019
In the other Puerto Rico bond fraud claim, the claimants were customers alleging constructive fraud, common law fraud, breach of fiduciary duty, negligent misrepresentation, negligent supervision, breach of contract, and fraudulent concealment.
