Publications
Investment News: Couple files Finra claim…
A retired couple from North Carolina has filed an arbitration claim against Morgan Stanley, alleging it failed to adequately disclose the...
Investment News: Wells Fargo faces major test..
A Wells Fargo Advisors client has asked arbitrators to recover money he says he lost investing with F-Squared Investments Inc., his lawyer said Wednesday, testing whether investors can challenge brokerage firms who sold the troubled asset manager’s products…
Public Investors Arbitration Bar Association Journal
his article addresses what appears to be a growing problem and our experience in defending against it. Specifically, broker-dealers’ attempts to apply indemnification clauses in private placement subscription agreements—intended to apply solely to the sponsor of the investment—to themselves…
Wall Street Journal: How Troubled Brokers Cluster
At Burt & Max’s Bar and Grille one day this summer, stockbroker Rafael Golan gave a group of elderly people a financial seminar. After his hourlong talk on topics from real estate to annuities, the free food arrived…
Reuters Special Report:
Atlas Energy LP has a deal for investors eager to get in on the U.S. energy boom: Contribute at least $25,000 in a partnership that will drill for oil and gas in Texas, Ohio, Oklahoma and Pennsylvania and then share any revenue from the wells’ output…
New York Times: Brokers Countersue to thwart suits of unhappy investors
Ron Vaerewyck was making his way through the convention floor at the annual World Money Show in Orlando, Fl, in February 2008 when he stopped by the booth of Reef Securities of Richardson, Tex.
The brochures for Reef’s private placements in the energy industry showed an impressive track record.
