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More than $241 million of structured notes tied to Apple structured products face losses after a 27 percent drop in the stock of the world’s most valuable company eroded built-in cushions that protect investors. This significant decline not only highlights the volatility inherent in tech stocks but also raises concerns for investors who rely on […]
Beverly Hills based securities lawyers have launched an extensive investigation into the sales practices of LPL Financial, LLC regarding the recommendation of non-traded REITs to their clients. This investigation is critical as it follows a recently filed complaint by the Commonwealth of Massachusetts Securities Division, which delves into similar non-traded REIT sales practices. The Massachusetts […]
InvestmentNews reports a significant development in the financial industry: the Financial Industry Regulatory Authority Inc. (FINRA) has now opened its arbitration system to registered investment advisers (RIAs). This move marks a notable expansion of FINRA’s arbitration services, which have traditionally been utilized for resolving investor or industry complaints involving securities firms and broker-dealers. The announcement […]
New rules that could require certain brokers to act in the best interests of clients should enhance laws already in place for some financial advisers, a coalition of investor advocacy and trade groups wrote late on Thursday. The letter to Securities and Exchange Commission Chairman Mary Schapiro from groups that include the Consumer Federation of […]
Ss=”rank-math-highlight” style=”background-color: #fee894″>Over two grueling weeks, convicted Florida Ponzi schemer Scott Rothstein laid out in incriminating detail how far the tentacles stretched in his $1.2 billion fraud scheme, which has been described as one of the largest Ponzi schemes in U.S. history. Rothstein pointed the finger at numerous lawyers, bankers, business people, relatives, friends, and […]