securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/C27
Skip to main content. Greco and Greco, P.C. Greco and Greco's lawyers represent investors to recover losses caused by securities fraud, churning, lack of suitability, negligence, sales of unregistered securities, unauthorized trading, and other misconduct by stock brokers, investment advisors, financial planners and their firms. For a Free Attorney Consultation, call us at 877-821-5550 or. Washington DC Investment Advisor Dawn Bennett Barred by SEC. Judge Grimes Order ultimately found that "Respondents m...
securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/C103
Skip to main content. Greco and Greco, P.C. Greco and Greco's lawyers represent investors to recover losses caused by securities fraud, churning, lack of suitability, negligence, sales of unregistered securities, unauthorized trading, and other misconduct by stock brokers, investment advisors, financial planners and their firms. For a Free Attorney Consultation, call us at 877-821-5550 or. O N Equity Sales Company. Norfolk Virginia Financial Advisor Charged with Fraud. Posted by W. Scott Greco. HD Vest C...
securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/C47
Skip to main content. Greco and Greco, P.C. Greco and Greco's lawyers represent investors to recover losses caused by securities fraud, churning, lack of suitability, negligence, sales of unregistered securities, unauthorized trading, and other misconduct by stock brokers, investment advisors, financial planners and their firms. For a Free Attorney Consultation, call us at 877-821-5550 or. Prudential Fined for Failure to Supervise Fraudulent Withdrawals From Variable Annuity. Posted by W. Scott Greco.
securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/C79
Skip to main content. Greco and Greco, P.C. Greco and Greco's lawyers represent investors to recover losses caused by securities fraud, churning, lack of suitability, negligence, sales of unregistered securities, unauthorized trading, and other misconduct by stock brokers, investment advisors, financial planners and their firms. For a Free Attorney Consultation, call us at 877-821-5550 or. Prudential Fined for Failure to Supervise Fraudulent Withdrawals From Variable Annuity. Posted by W. Scott Greco.
securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/site/comments/first_first_finra_arbitration_award_against_ubs_of_puerto_rico_regarding_bo
First FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Funds. The case involved a heavy over-concentration of the Claimant’s UBS account in proprietary UBS closed end bond funds pursuant to UBS’s recommendations. The funds invested heavily in Puerto Rico bonds using leverage (a speculative investment technique), and had significant geographic concentration risk. Read about the arbitration award in this Reuters article. Posted by Greco and Greco. On 05/18 at 09:32 AM. 8226; Brokerage Firms.
securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/site/comments/h.d._vest_charged_with_failures_related_to_supervision
HD Vest Charged With Failures Related to Supervision. The SEC entered a Cease and Desist Order pursuant to an Offer of Settlement by H.D. Vest Investment Securities Inc. The Order can be found here. HD Vest was fined $225,000 and ordered to hire an independent consultant to recommend improvements to its supervisory systems. Posted by Greco and Greco. On 03/11 at 04:20 PM. 8226; Brokerage Firms. 8226; H.D. Vest Investment. Previous entry: Norfolk Virginia Financial Advisor Charged with Fraud. First FINRA ...
securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/C4
Skip to main content. Greco and Greco, P.C. Greco and Greco's lawyers represent investors to recover losses caused by securities fraud, churning, lack of suitability, negligence, sales of unregistered securities, unauthorized trading, and other misconduct by stock brokers, investment advisors, financial planners and their firms. For a Free Attorney Consultation, call us at 877-821-5550 or. SEC and FINRA FINE UBS OVER PUERTO RICO BOND FUNDS. UBS was censured and fined over fourteen million dollars. The ab...
securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/C15
Skip to main content. Greco and Greco, P.C. Greco and Greco's lawyers represent investors to recover losses caused by securities fraud, churning, lack of suitability, negligence, sales of unregistered securities, unauthorized trading, and other misconduct by stock brokers, investment advisors, financial planners and their firms. For a Free Attorney Consultation, call us at 877-821-5550 or. SEC and FINRA FINE UBS OVER PUERTO RICO BOND FUNDS. UBS was censured and fined over fourteen million dollars. The ab...
securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/C106
Skip to main content. Greco and Greco, P.C. Greco and Greco's lawyers represent investors to recover losses caused by securities fraud, churning, lack of suitability, negligence, sales of unregistered securities, unauthorized trading, and other misconduct by stock brokers, investment advisors, financial planners and their firms. For a Free Attorney Consultation, call us at 877-821-5550 or. UBS Financial Services of Puerto Rico. SEC and FINRA FINE UBS OVER PUERTO RICO BOND FUNDS. The above sales practices...
securities-fraud-blog.com
Securities Fraud Blog
http://securities-fraud-blog.com/index.php/C104
Skip to main content. Greco and Greco, P.C. Greco and Greco's lawyers represent investors to recover losses caused by securities fraud, churning, lack of suitability, negligence, sales of unregistered securities, unauthorized trading, and other misconduct by stock brokers, investment advisors, financial planners and their firms. For a Free Attorney Consultation, call us at 877-821-5550 or. Norfolk Virginia Financial Advisor Charged with Fraud. One of our attorneys for a free consultation. HD Vest Charged...
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