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In a recent speech, Daniel Gallagher, a member of the Securities and Exchange Commission stated that a large number investment advisers may be violating securities law and committing other misconduct without consequence because the Securities and Exchange Commission does not … Continue reading
FINRA recently fined Morgan Stanley Smith Barney, LLC (“MSSB”), $5 million for supervisory failures related to initial public offerings between February 16, 2012 and May 1, 2013. During this time, MSSB sold shares to retail customers in 83 IPOs, including … Continue reading
In 2013, independent broker-dealers returned to double-digit revenue growth on average 2013, according to Investment News. Much of this growth stems from alternative investments, particularly non-traded REITS, whose sales reached almost $20 billion in 2013, according to Investment News. Investment … Continue reading
Erez Law is investigating claims regarding William Bradford Coolidge (CRD #1636957, Cordova, Tennessee), also known as Brad Coolidge and William B. Coolidge. Coolidge recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with … Continue reading
Erez Law is investigating claims regarding Florlena Cortez (CRD #4339441, El Paso, Texas), also known as Florlena Cortez Alva and Florlena Cortez Guerrero. Cortez recently submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association … Continue reading
Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico on behalf of a retired man who suffered approximately $4.2 million in losses stemming from closed-end … Continue reading
Erez Law is investigating claims regarding Allen Hugo Reichman (CRD #1002285, Irvington, New York), also known as Allen H. Reichman. Reichman recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA … Continue reading
Erez Law y Aldarondo y Lopez Bras se han mantenido por mas de 130 familias que sufrieron perdidas derivadas de las inversiones en fondos de bonos libres de impuestos de UBS Puerto Rico . Aldarondo & Lopez Bras is a … Continue reading
Erez Law and Aldarondo & Lopez Bras have been retained by more than a 130 families who suffered losses stemming from investments in UBS Puerto Rico’s tax free bond funds. Aldarondo & Lopez Bras is a separate law firm only … Continue reading
Erez Law is investigating claims for investor losses in the UBS Willow Fund, LLC, a closed-end investment fund sponsored and sold by UBS. The UBS Willow Fund specialized in distressed debt instruments, and had assets of almost $500 million in … Continue reading