Articles Posted in securities arbitration lawyer

Investment fraud lawyers are currently investigating claims on behalf of UPS employees who suffered significant losses as a result of their concentrated position in UPS stock. A recent securities arbitration claim was filed with the Financial Industry Regulatory Authority’s Office of Dispute Resolution on behalf of one investor against Wells Fargo Advisors, seeking damages of…

Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses in the CommonWealth REIT. Investigations into the CommonWealth REIT began when allegations were made in a lawsuit filed by an investor in the U.S. District Court for the District of Massachusetts regarding false and misleading statements about the REIT’s prospects…

Investment fraud lawyers are currently investigating claims on behalf of customers of JP Morgan Securities LLC. At issue is whether the customers received recommendations that were unsuitable or not in their best interest because of a JP Morgan policy that conflicted with brokers’ responsibilities to their customers. According to a securities arbitration claim filed by…

Investment fraud lawyers are currently investigating claims on behalf of Ameriprise Financial and LPL Financial customers. Recently, the U.S. Securities Exchange Commission charged Blake B. Richards, a former LPL and Ameriprise Advisor Services advisor, with fraud. Allegedly, Richards misappropriated funds from a minimum of six individuals, amounting to around $2 million. According to the SEC,…

Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses in two mortgage REITs, American Capital Agency and American Capital Mortgage, following the announcement of 2013 first-quarter results. For the first quarter of 2013, American Capital Mortgage suffered losses of $0.56 per share and American Capital Agency suffered losses of…

Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of doing business with VSR Financial Services and/or Michael David Shaw, a financial advisor. Allegedly, Shaw and VSR Financial Services may have engaged in misconduct in connection with the sales of REITs, alternative investments, hedge funds and…

Earlier this month, the Financial Industry Regulatory Authority (FINRA) issued a notice to broker-dealers stating that in some cases, they have not provided adequate service to investors in several areas, including the distribution of materials containing inaccurate and misleading statements related to non-traded real estate investment trusts, or REITs. Many securities arbitration claims have been…

Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of conducting business with Anastasios “Tommy” Belesis and other representatives of John Thomas Financial Inc. Specifically, investors in Liberty Silver Corp. and America West Resources Inc. may be eligible to recover their losses. In January of 2013,…

Investors are disappointed, to say the least, that a federal judge recently dismissed an investor class action lawsuit related to the sale of Apple REITs by David Lerner Associates Inc. However, stock fraud lawyers say that this decision will have absolutely no impact on arbitration cases filed against Lerner with the Financial Industry Regulatory Authority…

Investment fraud lawyers are currently investigating claims on behalf of customers of Morgan Stanley and other full-service brokerage firms who were the victim of unauthorized trading or discretionary trading on a non-discretionary account without receiving prior written authorization. According to FINRA’s discretionary rule, “No member or registered representative shall exercise any discretionary power in a…