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The firm continues to investigate the sales practices of Wall Street firms in recommending bond funds to its clients. This investigation is crucial as it highlights the potential risks associated with the financial products being sold to investors, particularly in the volatile market of Puerto Rican municipal bonds. Many investors may not fully understand the […]
A federal grand jury has indicted Richard Shusterman, age 50, of Highland Beach, Florida, and Jonathan E. Rosenberg, age 44, of West Orange, New Jersey, on charges of conspiracy and wire fraud, in connection with a scheme to defraud equity investors and asset-based lenders in medical accounts receivable of more than $275 million. The indictment […]
The system of mandatory arbitration of disputes between brokerage firms and customers is again in the news. This time the North American Securities Administrators Assocation, Inc. has been lobbying the SEC to act on its authority under Dodd-Frank to end or limit the use of pre-dispute mandatory arbitration agreements included in virtually all customer agreements […]
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 […]