Misrepresentations and Omissions

Representing Investors Nationwide

UBS Ordered To Pay Largest FINRA Award To Date for Losses Associated with Puerto Rico Municipal Bonds and Bond Funds

This week, a Financial Industry Regulatory Authority (FINRA) panel ordered UBS Financial Services Inc. (UBS) to pay restitution of nearly $20 million dollars for losses associated with the recommendation and sale of Puerto Rico bonds and closed-end funds sold to a UBS customer and his associates. This is the largest amount tha

Colling Gilbert Wright & Carter Wins Arbitration Award on Behalf of Client Against SII Investments, Inc.

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

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