Financial Advisor Fraud Archives – Page 536 Of 556

Investors File Complaints Against Emerson Equity For GWG Holdings L Bond Fraud

Haselkorn & Thibaut, P.A. (InvestmentFraudLawyer.com) is investigating Emerson Equity regarding GWG Holdings L Bonds. We are learning that GWG had been in financial trouble long before it began defaulting on interest payments. Recently the Securities and Exchange Commission (SEC) subpoenaed GWG for documents after it failed to file its annual 10-K. GWG put an end to the […]

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Financial Advisor Fraud: How to Spot Churning and Excessive Trading

Using cost-to-equity ratios and annualized turnover ratios to measure churning and excessive trading can be helpful in determining whether you have a conflict of interest. However, it is important to note that churning is not always illegal. In this article, we’ll look at how to spot churning claims and how to prove them. After reading

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Investment Fraud Litigation Basics

Many investors do not even know they are victims of investment fraud because they are too embarrassed to come forward or do not fully understand the nature of these investments. Others were misled by their broker or investment advisor. Still others may not want to acknowledge the fraud because they are afraid of the consequences

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How to Sell Non Traded REITs

Income investing using real estate has become some of the most popular methods for income over time, but there are plenty of questions and confusing specifics surrounding various types of investment approaches. Non-Traded Real Investment Trusts (REITs) are amongst the most perplexing variants, as they differ drastically from most other investment types. So, how can

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FINRA Arbitration vs. Court-Appointed Arbitrators

In deciding whether to award a dispute to a FINRA arbitrator, both parties must agree to the rules of the proceeding. FINRA arbitrators sit in equity rather than law, but they are not required to be attorneys. Because of this, some parties may disagree with their decision and request that an arbitrator is struck. FINRA

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