Articles Posted in FINRA

With promissory note scams on the rise, investors need to know both how to spot them and when they need to contact a stock fraud lawyer if they suspect fraud has occurred. Promissory notes are a type of debt sometimes used by companies in order to raise money. Through the note, the company promises to…

Investment fraud lawyers are investigating possible Financial Industry Regulatory Authority (FINRA) claims against broker-dealers who improperly recommended the purchase of Ziegler Healthcare Real Estate Funds (ZHREF). ZHREF is one of many risky private equity funds that have been improperly recommended and could result in loss recovery through securities arbitration. A series of four private equity…

According to a new study, in 2011 the Financial Industry Regulatory Authority’s (FINRA) enforcement actions and fines were significantly higher than in 2010. Enforcement actions rose from $45 million in 2010 to $68 million in 2011. Of that $68 million, the largest portion was for improper advertising penalties. Furthermore, the FINRA sanctions survey stated that…

Individuals who suffered significant losses as a result of a Triple Net TIC investment may be able to recover losses through securities arbitration with a securities fraud attorney. In many cases, brokers may have committed broker fraud by unsuitably recommending these investments to investors. TICs, or tenancies-in-common, are investments in which multiple investors are sold…

Investors who suffered losses as a result of their broker’s recommendation of Guggenheim Shipping ETF are seeking the help of investment fraud lawyers in recovering their losses. Guggenheim Shipping ETF is a targeted ETF that tries to track the shipping industry. In general, the shipping industry can be a leveraged play — when there is…

Because of the attention received by the solar power industry, many brokers and financial advisers recommended the Market Vectors Solar Energy ETF to their clients. However, as a result of budget crises in Europe, subsides that were badly needed to develop solar technology were reduced or eliminated. As a result, technological advancements that would have…

Many investors have suffered losses and received lowball offers on their Berhinger Harvard REIT I and Behringer Harvard Short-Term Opportunity Fund I investments. Investors facing this problem may be able to recover their losses with a securities arbitration lawyer. Statements made on the Behringer Harvard Holdings LLC website stated that unsolicited lowball offers have been…

Investors who suffered losses as a result of their broker’s recommendation of C-Tracks ETN Citi Volatility Index Total Return are seeking the help of investment attorneys in recovering those losses. Reportedly, a unique methodology has caused a severe decline in the Volatility ETFdb Category. The C-Tracks ETN Citi Volatility Index Total Return combines short exposure…

Investment attorneys are seeking Merrill Lynch customers who purchased Mars CDO I, as they could potentially recover their losses through securities arbitration. Mars CDO I was sold to institutional and high net worth customers of Merrill Lynch. The Mars CDO I was underwritten by Merrill Lynch in 2007. However, each of the 30 CDOs underwritten…

Investors of Chase Investment Services Corporation’s unit investment trusts and floating rate loan funds may be able to recover losses through securities arbitration. Chase Investment Services’ sales practices involving these securities are currently being investigated by investment attorneys. In a recent Financial Industry Regulatory Authority (FINRA) ruling, Chase Investment Services was ordered to reimburse customers…