Did your financial advisor recommend Priority Income Fund Class R2? You may be holding a high-risk investment that has lost over half its value. Our firm is investigating potential claims of unsuitable investment recommendations regarding Priority Income Fund Class R2. Marketed to retail investors as a steady income generator, this fund is actually a complex, high-risk […]

The securities litigation team at SecuritiesLawyer.com is investigating potential fraud and preparing an Atlas Fund lawsuit investigation. We are looking into Atlas Fund Management LLC and its placement agent, Spartan Capital Securities. We want to speak with investors who bought these specific private funds: The Investigation: Did Atlas Fund Own the Shares? Brokers marketed these […]

Client Of United Planners Financial Services Takes Issue With Broker Pat Vitucci's Variable Annuity Sales The Financial Industry Regulatory Authority (FINRA) contains new disclosures concerning securities broker Pasquale “Pat” Vitucci (CRD#: 2290163, Walnut Creek, California). It appears that 21 investors filed disputes alleging sales practice violations by the securities broker. FINRA BrokerCheck shows that Vitucci […]

Finra warned investors that if the interest rates rise - as most pros expect - bond investors could be slammed by long duration, writes Dan Jamieson in a Feb. 14th., 2013 article for InvestmentNews.com FINRA, the Financial Industry Regulatory Authority Inc. in an investor alert, told investors that in the event of rising interest rates, […]

Securities Lawyer, Lars Soreide of Soreide Law Group, PLLC, recently announced that he is investigating claims against Linsco Private Ledger (LPL Financial) for investors who have suffered losses by former LPL broker Alberto Neira. The clients of former LPL representative Alberto Neira were solicited to invest in the now defunct Silver Oak Leasing – a […]

Nicholas Rowe and his firm, Focus Capital Wealth Management, Inc. of Bedford, New Hampshire, were found liable in a case alleging negligence, civil fraud, and other misdeeds, involving the sale of risky ETFs (Exchange Traded Funds) to nine investors, according to a ruling by a Financial Industry Regulatory Authority (FINRA) arbitration panel. Some of these […]

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Last week LPL Financial Holdings agreed to pay $2.5 million in fines and restitution for improperly supervising brokers who sold non-traded real estate investment trusts. (Please note that LPL neither admitted nor denied wrongdoing.) These non-traded REITs are high-yielding and very popular. These non-traded REITs have jumped about 50% since 2009, to $65 billion. They […]

In an article in the Wall Street Journal, Feb. 11, 2013, Matthew Heimer writes that ever since the Federal Reserve started pushing interest rates to new lows, it’s been a common theme for retirees and other conservative investors accepting more risk to get a decent income from their portfolios. Last week LPL Financial Holdings agreed […]