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Search Results: misrepresentations
Results 70-80 of about 324
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.
Date: August 26, 2019
Johnathan Turner made misrepresentations to prospective investors, including that its investments were insured and bonded by top insurers like Chubb Group and CNA Financial Group.
Date: June 12, 2019
The independent federal agency contends that Wachovia, which played a part in packaging these securities, put out registration statements that were also allegedly misleading and included misrepresentations that eventually resulted in Freddie Mac sustaining huge financial losses.
Date: June 11, 2019
Another Ex-LPL Broker Barred Following Misrepresentation Allegations
Date: May 10, 2019
Puccio’s BrokerCheck record notes several customer disputes, with allegations including unsuitable investments sold to claimants, negligence, breach of fiduciary duty, misrepresentations, and omissions.
