Haselkorn & Thibaut are currently investigating Aegis Capital for several issues including the sales of GWG Holdings L Bonds and other investment products. It is alleged that financial advisors at Aegis Capital did several things including misrepresenting the true risk of the investment, overconcentrated the holdings of clients, and not properly supervising. In January, GWG […]
Aegis Capital Investigation For GWG Holdings L Bonds Read More »
After concealing the risks faced by a set of its fund managers that crashed during global market fluctuations, an Allianz Structured Alpha (SE) unit will plead guilty to wrongdoing and has agreed to pay $5.8 billion. Allianz Global Investors US, a fully owned subsidiary of the German insurer, shall admit guilt to a federal charge
Allianz Structured Alpha: Allianz SE Pleads Guilty and Agrees to Pay $5.8 Billion Read More »
The Securities and Exchange Commission (SEC) has been successful in obtaining a final judgment against Steven Muntin, a registered investment advisor who worked with Taylor & Morgan Asset Management (TMA) for four years, on a charge of having defrauded a client out of over $314,000. Michigan-based Muntin has been ordered by a district court in
Investigating Complaints Against Daniel Steiner and Lincoln Financial Advisors in Jacksonville, FL Did you lose money due to investments that you made with Daniel Robert Steiner and Lincoln Financial Advisors Corporation in Jacksonville, Florida? If so, the attorneys of Investment Loss Recovery Group want to help you. We are currently investigating complaints by Mr. Steiner’s
In an article in the Wall Street Journal on Wednesday, June 22, 2016, it was announced that the Securities and Exchange Commission (SEC) is preparing a civil enforcement action against sec Merrill Lynch relating to the issuance of structured products investments in 2010. A structured product (oftentimes referred to as a structured note) is a
SEC Prepares Civil Enforcement Action Against SEC Merrill Lynch Read More »