Posts tagged ‘Royal Alliance’
Boca Raton Securities Fraud Lawyer
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.
The White Law Group exclusively represents investors seeking to recover investment losses incurred as a result of the fraud or negligence of their financial professional or broker-dealer. We review investment fraud cases involving all FINRA registered broker-dealers and have handled cases against most of the major broker-dealers, including Morgan Stanley, Wachovia, Wells Fargo, Banc of America, Merrill Lynch, Smith Barney, UBS, Edward Jones, Raymond James, Securities America, Royal Alliance, RBC Capital and Ameriprise.
The securities cases we review often involve some form of the following type of securities fraud: unsuitability, churning (or excessive trading), unauthorized trading, failure to execute, improper use of margin, and overconcentration (holding off an inordinately large position of one investment).
We review tons of securities cases per year involving all manner and scope of securities frauds, but it seems that many of the cases that we review often involve the same general types of investment products. Interestingly, these investment products are also the same products that pay financial advisors the highest commission. The investment products that we most see being abused in reviewing securities fraud cases are cases involving REITs, variable annuities and variable universal life policies, Promissory Notes, Tenants-In-Common (TICs), and mutual funds (particularly proprietary mutual funds – when a brokerage firm pushes its own mutual funds (i.e. a UBS financial advisor recommending UBS mutual funds)).
To speak to an experienced securities attorney, please call The White Law Group at 312-238-9650. For more information on the firm, please visit our website at http://www.whitesecuritieslaw.com.
Boca Raton Securities Fraud Attorney
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.
The White Law Group exclusively represents investors seeking to recover investment losses incurred as a result of the fraud or negligence of their financial professional or broker-dealer. We review investment fraud cases involving all FINRA registered broker-dealers and have handled cases against most of the major broker-dealers, including Morgan Stanley, Wachovia, Wells Fargo, Banc of America, Merrill Lynch, Smith Barney, UBS, Edward Jones, Raymond James, Securities America, Royal Alliance, RBC Capital and Ameriprise.
The securities cases we review often involve some form of the following type of securities fraud: unsuitability, churning (or excessive trading), unauthorized trading, failure to execute, improper use of margin, and overconcentration (holding of an inordinately large position of one investment).
We review tons of securities cases per year involving all manner and scope of securities frauds, but it seems that many of the cases that we review often involve the same general types of investment products. Interestingly, these investment products are also the same products that pay financial advisors the highest commission. The investment products that we most see being abused in reviewing securities fraud cases are cases involving REITs, variable annuities and variable universal life policies, Promissory Notes, Tenants-In-Common (TICs), and mutual funds (particularly proprietary mutual funds – when a brokerage firm pushes its own mutual funds (i.e. a UBS financial advisor recommending UBS mutual funds)).
To speak to an experienced securities attorney, please call The White Law Group at 312-238-9650. For more information on the firm, please visit our website at http://www.whitesecuritieslaw.com.
Chicago Securities Fraud / Investment Fraud Lawyer
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.
The White Law Group exclusively represents investors seeking to recover investment losses incurred as a result of the fraud or negligence of their financial professional or broker-dealer. We review investment fraud cases involving all FINRA registered broker-dealers and have handled cases against most of the major broker-dealers, including Morgan Stanley, Wachovia, Wells Fargo, Banc of America, Merrill Lynch, Smith Barney, UBS, Edward Jones, Raymond James, Securities America, Royal Alliance, RBC Capital and Ameriprise.
The securities cases we review often involve some form of the following type of securities fraud: unsuitability, churning (or excessive trading), unauthorized trading, failure to execute, improper use of margin, and overconcentration (holding off an inordinately large position of one investment).
We review tons of securities cases per year involving all manner and scope of securities frauds, but it seems that many of the cases that we review often involve the same general types of investment products. Interestingly, these investment products are also the same products that pay financial advisors the highest commission. The investment products that we most see being abused in reviewing securities fraud cases are cases involving REITs, variable annuities and variable universal life policies, Promissory Notes, Tenants-In-Common (TICs), and mutual funds (particularly proprietary mutual funds – when a brokerage firm pushes its own mutual funds (i.e. a UBS financial advisor recommending UBS mutual funds)).
To speak to an experienced securities attorney, please call The White Law Group at 312-238-9650. For more information on the firm, please visit our website at http://www.whitesecuritieslaw.com.
Chicago Securities Fraud / Investment Fraud Attorney
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.
The White Law Group exclusively represents investors seeking to recover investment losses incurred as a result of the fraud or negligence of their financial professional or broker-dealer. We review investment fraud cases involving all FINRA registered broker-dealers and have handled cases against most of the major broker-dealers, including Morgan Stanley, Wachovia, Wells Fargo, Banc of America, Merrill Lynch, Smith Barney, UBS, Edward Jones, Raymond James, Securities America, Royal Alliance, RBC Capital and Ameriprise.
The securities cases we review often involve some form of the following type of securities fraud: unsuitability, churning (or excessive trading), unauthorized trading, failure to execute, improper use of margin, and overconcentration (holding off an inordinately large position of one investment).
We review tons of securities cases per year involving all manner and scope of securities frauds, but it seems that many of the cases that we review often involve the same general types of investment products. Interestingly, these investment products are also the same products that pay financial advisors the highest commission. The investment products that we most see being abused in reviewing securities fraud cases are cases involving REITs, variable annuities and variable universal life policies, Promissory Notes, Tenants-In-Common (TICs), and mutual funds (particularly proprietary mutual funds – when a brokerage firm pushes its own mutual funds (i.e. a UBS financial advisor recommending UBS mutual funds)).
To speak to an experienced securities attorney, please call The White Law Group at 312-238-9650. For more information on the firm, please visit our website at http://www.whitesecuritieslaw.com.
Current Securities Fraud Investigations
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm is dedicated to assisting investors who have suffered investment losses as a result of their financial advisor or broker-dealers’ fraud or negligence.
We are currently investigating possible securities fraud claims involving the following investments or type of investments:
(1) Investments in DBSI, Inc. or DBSI TICs (tenants in common), particularly those solicited by Royal Alliance, Independent Financial Group, and Questar
(2) ING variable annuities and ING’s variable annuity sales practices
(3) Ameritas and Pacific Life variable annuity and life insurance sales practices
(4) UBS proprietary products and mutual funds sales practices
(5) Investments in Citigroup structured products such as ELKS
(6) Investments in Medical Capital, particularly those solicited by Securities America
(7) Morgan Stanley active trading practices (and possible churning), as well as margin investing
(8) RBC Capital (f/k/a RBC Dain Rauscher) suitability standards for elderly investors
(9) Investments in emerging markets (in particular Chinese companies) solicited by Brookstone Securities
(10) Raymond James’ variable annuity sales practices
(11) Morgan Keegan funds
(12) Lehman Brothers’ 100% principal protected promissory notes
(13) Investments in unsuitable non-traded REITs
If you have any information that may assist us in our current investigations, on if you believe that you have been the victim of a securities fraud, please contact our offices at 312-238-9650. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.
For more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com.