investorslawyers

UNSUITABLE INVESTMENT LAWYERS We seek compensation for investors who lost money as a result of unsuitable investments recommended to them by their investment advisors or brokerage firms. Securities broker-dealer firms and professionals have a duty to only recommend to their customers investments that are suitable for those customers’ investment profiles, experience, and risk tolerance. The securities regulators have enacted extensive suitability rules and regulations applicable to a broker’s recommendations with regards to specific investments. BROKERS MUST ASCERTAIN THE SUITABILITY OF INVESTMENTS FOR EACH INDIVIDUAL CUSTOMER, BASED ON FACTORS SUCH AS: (1). financial health (2). tax status & age (3). current portfolio (4). risk tolerance & investment experience (5). liquidity (6). investment goals An unsuitable investment may comprise one, two, or all three characteristics. For instance, illiquid investments are typically unsui...

TCA Fund Investor Center Our lawyers are preparing to take action and seek compensation on behalf of TCA Fund investors from investment advisors and brokerage firms that recommended TCA Fund investments without first conducting adequate due diligence. Important Investor Updates TCA Fund Managment Group has been sued by SEC The Securities Exchange Commission recently filed a  Complaint  against Florida-based investment adviser TCA Fund Management Group Corp., its affiliate TCA Global Credit Fund GP Ltd., and several funds managed by TCA. In its Complaint, the SEC alleges that the TCA Fund managers misrepresented the value of the funds, inflating the net value of the assets by at least $130 million. In its Complaint, The SEC also sought a receiver in order to protect investors from further investment fraud and to enjoin TCA from perpetrating its fraudulent scheme. Contact Us: Goldman Scarlato & Penny P.C. rosca@lawgsp.com 8 Tower Bridge, ...

Broker Misconduct Lawyers in Philadelphia PA  Often brokers steal client funds simply by producing forged letters of authorization, and then move funds from the customer’s account to a second account controlled by the broker. Other cases involve brokers who open unauthorized accounts at other institutions. The broker is listed as a joint account holder, together with the customer, unbeknownst to the customer. The account is then used to receive siphoned funds from the customer’s actual account, which the broker then pockets. Brokers may also go so far as to change the customer’s address, reroute actual statements from getting to the customer, and producing their own phony statements to show the customer. Some brokers scam customers by sending an unsolicited withdrawal check from their brokerage account. When the customer sends it back, the broker may deposit it into a different account. Brokers may also borrow funds or take an IOU or promissory note which is ...

Misappropriation From Private Funds Donald s. Laguardia, jr. A lavallette, new jersey resident, allegedly controlled the investment adviser, l-r managers, llc, and allegedly misappropriated investor money from private funds advised by l-r managers and from subscriptions intended to be invested in one of the funds, according to an sec report under review by investor rights attorney alan rosca. ​Donald s. Laguardia, jr., a founder and managing principal of a new york-based investment adviser, specifically, allegedly misappropriated approximately $2.6 million from investors and then purportedly concealed part of the misappropriation through fraudulent accounting devices, the sec reports. Resource URL: https://investorlawyers.org/donald-s-laguardia-jr-alleged-misappropriation-from-private-funds/

Investment Fraud Lawyers in Philadelphia PA We represent investors who lost money in fraudulent investment programs.Investment fraud comprises a broad spectrum of investment programs and products that entice a range of investors from the novice to the most sophisticated. The common denominator we’ve seen across the many fraudulent schemes we’ve reviewed is that they are all crimes of confidence. Victims of investment fraud range from sophisticated institutional investors on Wall Street to law enforcement and down to Main Street investors hoping to put away extra cash for retirement or their children’s education. If you believe you may have lost money in fraudulent investment programs contact us for a free, no-obligation consultation regarding your legal situation and potential recovery options, by phone at  888-998-0530 , via email at  arosca@roscalaw.com , or through the  contact form  on this page. Read More:...