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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...
read moreDid you lose money on ATEL funds bought on the recommendation of a broker or adviser?
ATEL Capital group has carved out a niche for itself connecting companies with equipment. And because every business needs some type of equipment—from Internet routers and office desks to airplanes—their funds may look like a safe way to make some money. But for many...
Epperson & Greenidge is investigating GPB Capital’s private placements and how they were sold.
Recent Updates: As reported by Investment News on June 17, Fidelity Investments is telling broker dealers that they must move GPB private placements off its platform within 90 days or work with its custodian and assist them to obtain a clear valuation of the...
Did you lose money because a broker or adviser recommended Wheeler Real Estate Investment Trust?
Of the hundreds of publicly traded Real Estate Investment Trusts (REITs), one stands out for its abysmal performance: Wheeler Real Estate Investment Trust (NASDAQ: WHLR). The tumult this REIT has experienced has made it particularly toxic for risk-averse investors...
Sandlapper Securities could be facing expulsion from FINRA over its sale of shares in Tiburon Saltwater Reclamation Fund I LLC
It appears that South Carolina-based brokerage firm Sandlapper Securities may be expelled from FINRA due to allegedly unreasonable and undisclosed markups it charged investors in its sale of shares in the private placement investment Tiburon Saltwater Reclamation Fund...
New report targets investments that bring out the worst in financial advisers and stockbrokers
A new report highlights the ways some investment and brokerage firms fail to act in their clients’ best interests and so increase the risks of steep financial losses. Specific financial products — complex and risky investments such as nontrading REITs, variable...
Did your stockbroker or financial adviser lose your money by recommending CBL stock?
As malls dwindle, so has the stock price of CBL & Associates Properties, Inc. (NYSE: CBL) Shoppers are skipping the mall, and stores that were once mall mainstays—Sear’s, for instance—are closing for good. Even with clear warning signs on the horizon for years, some...