Misrepresentations and Omissions
Representing Investors Nationwide
UBS Financial Services, Santander Securities, Popular Securities and Oriental Financial Services are financial services companies that enjoy a strong presence in major markets throughout the world. These firms allegedly encouraged clients to take concentrated positions in Puerto Rican bonds closed-end municipal bond funds.
The securities arbitration lawyers at Colling Gilbert Wright & Carter are pleased to announce an award on behalf of their client against SII Investments, Inc. in the amount of $19,634.34 plus interest and arbitration fees. The complaint was filed with The Financial Industry Regulatory Authority (FINRA) and alleged unsuitability; misrepresentations and omissions; violation of NASD/FINRA conduct rules; breach of con
The United States Court of Appeals for the 5th Circuit gets it right and reinstates the $9.2 million award to investors. An outrageous ruling by the lower court overturning the arbitration award that would have created terrible precedent for inves