Investment Recovery Options for Investors Who Lost Money with Feltl & Company

Author: Michael Hill

The Securities Law Firm of Menzer & Hill, P.A. is investigating investor arbitration claims against Feltl & Company.  On December 1, 2014, Feltl & Company entered into a Letter of Acceptance, Waiver, and Consent with the Financial Industry Regulatory Authority (FINRA) after FINRA made allegations against Feltl & Company for violations of securities industry rules.  FINRA… Read more »

Non-Traded REITs – Carefully Review Before Investing

Author: Michael Hill

FINRA has an investor alert on non-traded REITs, which investors should review prior to considering any investment into these products.  Non-traded REITs are publicly registered non-exchange traded real estate investment trust (REIT).  Our investigations have shown that some brokers and financial advisors fail to disclose the risks associated with these securities, to include their illiquid… Read more »

FINRA Watchdog on Private Placements

Author: LPclient

FINRA will be watching sales of private placements by broker-dealers more carefully, all in the pursuit of customer protection. http://bit.ly/QBGM2G   For a free case evaluation or to discuss any other investment losses, please contact the Securities Law Firm of Menzer & Hill, P.A., at 888-923-9223, or visit us on the web at www.suemyadvisor.com.

Securities Arbitration Award – Options Trading

Author: LPclient

In a recent FINRA Securities Arbitration case, against Black Diamond Securities, et al, Arbitration Panel awards the customers more than $3 Million in damages, including attorney fees, costs and interest for breach of fiduciary duty, unjust enrichment, and misrepresentation involving options trades in customer accounts. For a free case evaluation or to discuss any other… Read more »

Customer Arbitration Award – Unsuitable Investment

Author: LPclient

Gruberman v. LaSalle Street, FINRA ID #12-02021 (Chicago, IL, 1/30/2014) – In this explained Award, a customer couple win $135,000 against a broker-dealer for failing to advise them of unfavorable information on a tenancy in common it recommended. For a free case evaluation or to discuss any other investment losses, please contact the Securities Law… Read more »

Customer Arbitration Award – Promissory Note Partnership Investment

Author: LPclient

Carson v. VSR Financial, FINRA ID #11-02400 (Minneapolis, MN, 12/23/2013) – A customer complaining that he received a fractional share of a promissory note when he expected a partnership interest may be equally surprised, but certainly happier, when he recovers $40,000 more in compensatory damages than he requested. For a free case evaluation or to… Read more »

Requesting Higher Yield on Your Portfolio? Proceed With Caution.

Author: Michael Hill

In today’s low interest rate environment retirees and soon-to-be retirees, on fixed income, often try to get more interest and yield in their retirement nest eggs.  These investors should be wary when asking their broker or financial advisor to find investments that have higher interest or dividend rates.  The compliant broker may look for suitable… Read more »

Penny Stock Risks – Caveat Emptor

Author: Michael Hill

The securities industry has tough rules when it comes to brokers soliciting the purchase of “penny stocks.”  Typically a stock is considered a “penny stock” when it trades for less than $5 a share and it does not trade on a major exchange (e.g., New York Stock Exchange or NASDAQ).  Penny stocks normally trade on… Read more »