Articles Posted in Suitability

In May 2012, the Financial Industry Regulatory Authority ordered David Lerner Associates Inc. to pay claimants Florence Hechtel and Joseph Graziose $24,450 following the return of their Apple REIT Nine shares to the firm. According to securities arbitration lawyers, this could be the first of possibly hundreds of securities arbitration proceedings that are related to…

Securities arbitration lawyers continue to file claims against Pacific Cornerstone Capital Inc. on behalf of investors. In a February Securities and Exchange Commission filing, Pacific Cornerstone stated that it was “involved with an arbitration proceeding before FINRA and one FINRA investigation.” Pacific Cornerstone did not, however, state any specifics about the investigation referred to in…

Securities fraud attorneys are investigating potential claims on behalf of investors who purchased the Healthcare Trust of America REIT and suffered significant losses as a result of their investment. In many cases, brokers improperly recommended the purchase of Healthcare Trust of America to investors for which the REIT was unsuitable, and marketed it as safe…

Investment fraud lawyers are investigating claims on behalf of A & O Resource Management investors. A & O Resource Management and other affiliated companies, such as A & O Life Settlements, were used in a fraud scheme that resulted in lengthy prison sentences for two of the principals involved in the fraud. Many investors suffered…

Stock fraud lawyers are investigating claims on behalf of investors who suffered losses as a result of their investment in the TVIX ETF. It is possible that brokerage firms who recommended this high-risk, complicated product could be held liable for their clients’ losses. Traditional, conservative ETFs have become very popular and, as a result, some…

Securities fraud attorneys are continuing to file claims on behalf of investors who suffered losses as a result of their investments with Inland Western REIT. Inland Western, which is now known as Retail Properties of America Inc., is the third-largest shopping center REIT in the nation. Inland Western’s recent IPO offering resulted in some disastrous…

Securities arbitration lawyers are currently investigating possible claims on behalf of investors who suffered losses as a result of their purchases of Inland American Real Estate Trust Inc. through a full-service brokerage firm. Inland American is the largest non-traded REIT in the industry. Recently, it has been reported that Inland American is under investigation by…

ETFs (exchange traded funds) and ETNs (exchange traded notes) have recently gained a significant amount of attention in the securities industry. Securities fraud attorneys have been filing arbitration claims on behalf of investors who were unsuitably recommended ETFs or ETNs and suffered significant losses as a result. The Financial Industry Regulatory Authority (FINRA) has started…

Lately, there has been a lot of buzz amongst securities arbitration lawyers about non-traded REITs. Investors who have suffered losses as a result of these investments have been encouraged to come forward to attempt to recover their losses through FINRA arbitration. But what exactly is the problem with these investments? Generally, a problem with these…

Securities arbitration lawyers are currently investigating potential claims on behalf of investors who suffered losses as a result of their investments in Lehman Return Optimization Security Note and Maluhia Eight LLC. Lehman Return Optimization Security Notes were allegedly marketed by brokers as investments designed to guarantee safety much like the safety associated with “capital preservation.”…