Shepherd, Smith, Edwards & Kantas: Morgan Stanley Made Unsuitable Investment Recommendations to an Inexperienced Investor
19 mai 2020 12h51 HE
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Shepherd Smith Edwards & Kantas LLP
DALLAS, May 19, 2020 (GLOBE NEWSWIRE) -- Lawyers with Shepherd, Smith, Edwards, & Kantas ("SSEK Law Firm") recently filed a Financial Industry Regulatory Authority (FINRA) arbitration claim...
Olden Lane and AXIO Financial Form Distribution Partnership
14 nov. 2017 08h30 HE
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AXIO Financial
NEW YORK and PRINCETON, N.J., Nov. 14, 2017 (GLOBE NEWSWIRE) -- Olden Lane Securities LLC and AXIO Financial announced that they have formed a distribution partnership. Olden Lane is an innovative...
Former SEC Associate Regional Director Lorraine Echavarria to Join WilmerHale's Los Angeles Office
11 oct. 2016 11h05 HE
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WilmerHale LLP (Wilmer Cutler Pickering Hale and Dorr LLP)
LOS ANGELES, Oct. 11, 2016 (GLOBE NEWSWIRE) -- Lorraine Echavarria, the former head of enforcement in the Securities and Exchange Commission's (SEC) Los Angeles office, has joined WilmerHale's...
Mischler Financial Extends Structured-Products Team
22 juil. 2015 10h04 HE
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Mischler Financial Group
STAMFORD, Conn., July 22, 2015 (GLOBE NEWSWIRE) -- Mischler Financial Group, Inc., the financial industry's oldest and largest minority investment bank and institutional brokerage owned and operated...
Vernon Healy Claim: UBS Used Bait and Switch While Selling Ohio Business Owner Lehman Notes
19 janv. 2012 10h27 HE
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Vernon Healy Attorneys at Law
NAPLES, Fla., Jan. 19, 2012 (GLOBE NEWSWIRE) -- UBS fraudulently misrepresented the investment products it was selling to an Ohio business owner, leading him to believe he was buying principal...
Vernon Healy Files an Additional $1.1 Million in Lehman Note Claims Against UBS (UBS)
19 mai 2011 11h26 HE
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Vernon Healy Attorneys at Law
NAPLES, Fla., May 19, 2011 (GLOBE NEWSWIRE) -- Nationwide investor advocacy law firm Vernon Healy filed $1.1 million in securities fraud claims today against UBS for misconduct involving sales of...
Vernon Healy and the Carrigan Law Firm File $1 Million in Securities Fraud Claims Against UBS for Lehman Principal Protected Note Conduct in Texas State Court -- UBS
18 mai 2011 15h13 HE
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Vernon Healy Attorneys at Law
HOUSTON, May 18, 2011 (GLOBE NEWSWIRE) -- Attorneys for investors have filed $1 million in securities fraud charges in Texas state court against UBS in an effort to force UBS to answer for its Lehman...
Vernon Healy Securities Fraud Attorneys File Another Half Million in Principal Protected Note Claims Against UBS -- UBS
17 mars 2011 11h57 HE
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Vernon Healy Attorneys at Law
NAPLES, Fla., March 17, 2011 (GLOBE NEWSWIRE) -- The investor advocacy legal team at Vernon Healy, in conjunction with Orlando, Florida attorney Neal Blaher, filed more than half a million dollars in...
Investor Rights Law Firm Vernon Healy Praises SEC Recommendations to Congress on Stockbrokers' Fiduciary Duty
22 janv. 2011 09h26 HE
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Vernon Healy Attorneys at Law
NAPLES, Fla., Jan. 22, 2011 (GLOBE NEWSWIRE) -- The investor rights law firm of Vernon Healy expressed praise for Friday's late SEC recommendation to Congress on needed reform to hold stockbrokers and...
Vernon Healy Files Another $4 Million in Lehman Notes Claims Against UBS, Alleging Securities Fraud in the Firm's Sales of Principal Protected Notes and Other Structured Notes to Investors -- UBS
15 sept. 2010 13h03 HE
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Vernon Healy Attorneys at Law
NAPLES, Fla., Sept. 15, 2010 (GLOBE NEWSWIRE) -- The investment fraud attorneys at Vernon Healy today filed another $4 million in claims against UBS (NYSE:UBS), alleging that the firm perpetrated...