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Securities Unsuitability - News Articles
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In November, an $8.2 million investor complaint that alleged unsuitability and breach of fiduciary duty related to the firm's bond funds was denied. ... -
"The complexity and clumsiness of the criminal processes (pursued by the Israel Securities Authority) and their unsuitability to certain violations lead to a situation of lack of enforcement and consequently to insufficient deterrence. Moreover, the protraction of the legal process often ... -
'For people like you': Hami's case is one of dozens referred to the project by the Securities and Exchange Commission and the Financial Industry Regulatory ... -
"The most common lawsuit we bring against brokers is for unsuitability, " he says. He represented an elderly woman, who invested all her $2 million savings in tax shelters on a broker's advice. She had no income after the first year - an undesirable outcome ... -
The suits claim that Mr. Glubiak sold clients investments in Medical Capital Holdings Inc. and also alleges unsuitability, misrepresentation and omission of material facts, according to the Finra records. Mr. Glubiak, who is the founding principal of Cedar Brook Financial ... -
Jul 15, 2008
MarketWatch -
FORT LAUDERDALE, FL, Jul 15, 2008 (MARKET WIRE via COMTEX) -- The Law Office of David R. Chase, PA (the "Firm"), headed by former Securities and Exchange Commission Prosecutor and Special Assistant United States Attorney, David R. Chase, announces that it is has filed two FINRA ... -
Jul 15, 2008
MarketWatch -
NEW YORK, Jul 15, 2008 (PrimeNewswire via COMTEX) -- The law firms of Avelino & Associates, PC ( http://www.avelinolaw.com) and Napoli Bern Ripka, LLP, announced today that a claim was filed with FINRA (Financial Industry Regulatory Authority) arbitration against Charles Schwab & Co. ... -
Jul 15, 2008
MarketWatch -
The Claimant purchased the YieldPlus Funds as an alternative to a money market fund where he sought income with little to no risk. Instead, the value of his investment has experienced significant declines. The securities arbitration claim seeks the resulting damages of approximately $100,000. ... -
May 30, 2008
Bleacher Report, CA -
by Bryan Thiel (Senior Writer) I'm not sure if it's a two-part series when two different people write about it, however Jennifer Conway and I have decided to embark upon a little Canadian/American relation. Because of the impeccable job that Gary Bettman has done with the ... -
May 30, 2008
Bleacher Report, CA -
by Jennifer Conway (Columnist) (Bryan Thiel has the Canadian view here. As he said in his article, it's time for a little American-Canadian cooperation. Also, M MacDonald Hall wrote the gut reaction in a companion piece here .) ...
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May 31, 2008
Bleacher Report, CA -
by M MacDonald Hall (Analyst) About a month ago, fellow BR hockey fan Jennifer Conway approached me with a fantastic idea. As she is an American and I am Canadian, she thought we ought to take a look at our respective nations’ common enemy: NHL Commissioner Gary Bettman. ... -
May 31, 2008
Globe and Mail, Canada -
With Canada's six franchises doing more than their economic duty for the NHL, it's time to consider putting more franchises in the true north strong and free. So indicates an internal league document acquired by a Toronto newspaper. And so says Paul Kelly, the ... -
May 31, 2008
Globe and Mail, Canada -
There are a couple of ways one might describe the Gary Bettman era in the NHL. Or for those more generous of spirit, perhaps making the best of extremely challenging times for the game of big-league professional hockey in North America, giving it the old college try ... -
May 31, 2008
CBC.ca, Canada -
NHL commissioner Gary Bettman told Hockey Night in Canada on Saturday that league revenues are healthy even after taking into account the strength of the Canadian dollar. The Toronto Star, citing an internal league communique, reported this week that Canadian teams accounted ... -
Jun 1, 2008
Ottawa Citizen, Canada -
Characteristically, it took an American to tell Canadians that they should be better served by the National Hockey League. Paul Kelly, the Boston lawyer who's now the executive director of the NHL Players' Association, believes that Canada should have at least one -- ... -
May 28, 2008
Primenewswire (press release), CA -
BEVERLY HILLS, Calif., May 28, 2008 (PRIME NEWSWIRE) -- Investigation by the securities law firm of Aidikoff, Uhl & Bakhtiari continues into investment giant Charles Schwab (SCHW) regarding the recent collapse of its Schwab YieldPlus Fund Select Shares (SWYSX) and the Schwab ... -
Jun 1, 2008
Canada.com, Canada -
That brings us back to the purported unsuitability of Balsillie. The American leader of the NHLPA wants the BlackBerry Guy to add more Canadian content to the NHL. Wayne Gretzky has added his voice, saying Hamilton is a bona fide market. But, so far, ... -
May 5, 2008
Primenewswire (press release), CA -
Such investors will have viable claims based on the investment's unsuitability. Because a suitability claim is dependent on an individual's circumstances, ... -
May 8, 2008
Primenewswire (press release), CA -
omissions of material facts, unsuitability, and negligence. Blum & Silver, LLP is a nationally-recognized securities law firm headquartered in Coral Springs, Florida, with a satellite office in New York, representing investors worldwide with their claims for losses due to ...
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