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Do You Have Significant Losses in Your Portfolio Because Your Financial Advisor Told You to Buy a Bad Stock or Suggested a Bad Investment???
The saying, "Don't put all your eggs in one basket," is a fundamental principle of investing. A financial advisor who neglects to diversify your portfolio may be making critical mistakes. It's important to always consult with your advisor before making new...
read moreCan my investment in American Realty Capital Global Trust be the basis for a FINRA arbitration claim?
Have you lost money due to your purchase of American Realty Capital Global Trust or are you unable to sell your stake in this investment? American Realty Capital Global Trust is an illiquid and complex ‘Private Placement’ investment. The term Private Placement is a...
Concerned about your investment in American Realty Capital Trust V?
Have you lost money due to your purchase of American Realty Capital Trust V or are you unable to sell your stake in this investment? American Realty Capital Trust V is an illiquid and complex ‘Private Placement’ investment. The term Private Placement is a catch-all...
Can your investment in ATEL 16, LLC be the basis for a FINRA arbitration claim?
Have you lost money due to your purchase of shares of ATEL 16, LLC or are you unable to sell your stake in this investment? ATEL 16, per its Prospectus “[acquires] a diversified portfolio of leased equipment, equipment financing transactions and other investments,...
Did you lose money investing in American Finance Trust?
Have you lost money due to your purchase of American Finance Trust or are you unable to sell your stake in this investment? American Finance Trust is an illiquid and complex ‘Private Placement’ investment. The term Private Placement is a catch-all term that can also...
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...
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...