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Many GWG L Bondholders have filed FINRA investment fraud cases to recover their losses against their financial advisors at broker-dealers such as Emerson Equity and Western International who sold them the bonds. A syndicate of broker-dealers sold $ 1.3 billion of GWG L Bonds to thousands of retail investors. The […]
On behalf of a 78 year-old retiree, we filed a FINRA arbitration investment fraud claim to recover $750,000 in losses against RBC Capital Markets LLC (RBC). The investment fraud claim alleges that, in early 2022, a conservative investor’s accounts were re-allocated by RBC aggressively into managed stocks and corporate bonds […]
We are investigating potential investment fraud claims for investors with losses from structured products sold by accounts at UBS Financial Services Inc. who have suffered losses from investing in any of the firm’s structured notes, called GOAL Yield products, due to recent market volatility. When the market declines, the GOAL […]
On behalf of a 79 year-old college professor, we filed a FINRA arbitration investment fraud claim to recover $150,000 in losses against Vanguard Marketing Corporation (Vanguard). The investment fraud claim alleges that the investor sought prudent investment advice from Vanguard on “very conservative” investments, and was provided with an Investment […]
On October 13, 2022, the SEC charged New Jersey-based National Realty Investment Advisors LLC (NRIA) and four of its former executives with running a Ponzi-like scheme that raised approximately $600 million from about 2,000 investors. Most of this money was raised for the NRIA Portfolio Partners Fund I, LLC, which […]
Our firm is investigating unsuitable sales of alternative investments by broker-dealer and financial advisors to retirees, conservative and risk-averse investors. Retirees, conservative and risk-averse investors should avoid alternative investments because they are higher risk investments than traditional investments. Alternative investments include the following: Private Placements Hedge Funds Regulation D (Reg […]
You may be holding an alternative investment in your portfolio such as a hedge fund, real estate investment fund (REIT), private placement or Reg. D offering. Alternative investments are investments that are not publicly traded stocks, bonds, mutual funds, exchange-traded funds or other traditional investments. They are any investment that […]
Alternative investments are investments that are not publicly traded stocks, bonds, mutual funds, exchange-traded funds or other traditional investments. They are any investment that is not publicly-traded or listed on an exchange like the NYSE or NASDAQ. The alternative investment may take the form of a bond, stock or fund. […]