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Did your financial advisor invest your money in iRhythm Technologies, Inc?
In 2022, the stock price for iRhythm Technologies, Inc (IRTC) crashed, resulting in huge losses for many investors. Our law firm is investigating financial advisors and brokers who invested their clients’ money in iRhythm Technologies, Inc (IRTC), and we may be able...
read moreDid 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...
FINRA Rule 2010 – the “catch all” provision for broker misconduct
What is FINRA Rule 2010? FINRA Rule 2010 is a broad, sweeping rule that is utilized to address misconduct that is not directly addressed by another FINRA rule. The rule is centered around the use of ethical business practices by brokers and financial institutions....
Why are Financial Advisers and Brokers getting into trouble over Unit Investment Trusts (UITs)?
FINRA has been investigating the sale of Unit Investment Trusts (UITs). In recent high-profile cases, financial advisers and brokers at Morgan Stanley and Raymond James have been disciplined or fired for recommending premature sales or rollovers of Unit Investment...
Did You Lose Money in an Investment Sponsored by GPB Capital Holdings, LLC?
Update - GPB Capital Holdings may now be the subject of an FBI investigation, as reported by Investment News on March 4th, 2019. The article discussing this development can be found here. In a recent development, the Massachusetts Securities Division is investigating...
What to Do if Your Broker Sold You an Unsuitable High Commission Annuity
Our FINRA arbitration attorneys recently discussed the financial hazards of variable annuities: controversial contracts in which buyers pay installment or lump-sum premiums to insurance companies, which then invest the contributions into risky stocks and mutual funds....
What Are High Commission Variable Annuities?
The financial industry often uses terminology that may be unfamiliar to consumers, particularly those who are taking their first steps into the world of investing. One of these terms is “variable annuities” – in particular, high commission variable annuities. If you...