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Raymond James agrees to pay $15 million to settle SEC investigation
As reported in InvestmentNews, three Raymond James entities have agreed to pay over $15 million to resolve an investigation by the SEC. The settlement and SEC order focused on Raymond James’s actions in improperly charging certain clients advisory fees when the...
read moreRaymond James agrees to pay $15 million to settle SEC investigation
As reported in InvestmentNews, three Raymond James entities have agreed to pay over $15 million to resolve an investigation by the SEC. The settlement and SEC order focused on Raymond James’s actions in improperly charging certain clients advisory fees when the...
FINRA arbitrators’ $519,000 message to Morgan Stanley: Small profits were not enough
It often takes large losses for an investor to consider suing his or her stockbroker or financial advisor. However, experienced FINRA arbitration attorneys know that investors may have a claim even if their portfolio realized modest gains. In evaluating a potential...
Investments in Non-Traded REITs hit a 4-year high.
As reported in the DI Wire, non-traded REITs posted the highest monthly fundraising in nearly 4 years. As FINRA arbitration attorneys, our firm has represented a number of clients who have sued their stockbrokers or financial advisors for the improper sale of...
Did you invest in a worthless or high-risk conservation easement?
Did you buy a conservation easement investment from a financial advisor or stockbroker? If so, your investment may be worthless if the conservation easement was overvalued based on an improper appraisal – a practice that may be rampant in the industry. It could also...
Feds sue group selling syndicated conservation easements, investors may be on the hook.
The federal government is suing EcoVest Capital, a real estate investment company, for allegedly creating sham tax shelters by exploiting so-called conservation easements, which are intended to preserve natural land. EcoVest’s scheme hinged on grossly overvalued...
Did your broker or adviser place you in a risky bet on cobalt or lithium?
If you suffered heavy losses due to your stockbroker or financial adviser’s advice to bet on the rising price of cobalt or lithium, the attorneys at Epperson & Greenidge may be able to help correct the damage to your portfolio. Electric cars may be the future, but...