The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Michael Oppenheim of JP Morgan in regards to theft of client funds valuing over $20 Million. If you lost money with Michael Oppenheim of JP Morgan, please call the Securities Law Firm of Menzer & Hill, P.A. at 888-923-9223 to explore your… Read more »
Posts Tagged: risky investment
Invest with Dennis K. Karasik?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Dennis K. Karasik of CKA related to his unlawful sale of bonds. On July 8, 2014, FINRA imposed a bar from association with any FINRA member firm against Karasik in connection with Karasik’s offer and sale of Diversified’s bonds. If you lost… Read more »
Invest with Terry Joe Bagwell?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Terry Joe Bagwell of Pruco Securities related to his improper supervision of representatives in an ongoing Ponzi Scheme. If you lost money with Terry Joe Bagwell or Pruco Securities , please call the Securities Law Firm of Menzer & Hill, P.A. at 888-923-9223… Read more »
Invest with Arjent LLC, Pangaea, or Excalibur Asset Management ?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Pangaea LLC, Arjent LLC, and Excalibur Asset Management related to fraud charges filed by the SEC. CEO Robert P. DePalo, and Managing Director Joshua B. Gladtke are facing criminal charges through the New York County D.A. pursuant to fraud charges. If you… Read more »
Non-Traded REITs – Carefully Review Before Investing
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
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.
Customer Arbitration Award – Unsuitable Investment
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
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 »
Judge Upholds Restraining Orders in Menzer & Hill, P.A.’s Putative Class Action Against DeWaay Financial
“This is a win for equity and fairness,” said Scott Adkins, Chief Litigation and Bankruptcy Counsel, with Menzer & Hill, P.A. and class action counsel for the putative class. “DeWaay has extremely limited resources and hundreds of clients who’ve lost a lot of money.”
Broker managing your portfolio?
If you’re paying a percentage fee to your broker or financial advisor to manage your investment portfolio, be mindful of the following things. This type of account is called an “investment advisory” account and as such is subject to additional regulatory requirements incumbent on the broker. 1. Does your portfolio have a single large position? … Read more »