While UBS scored some early victories in arbitration involving the firm’s high-risk yield enhancement strategy (YES) investment product, recently the tables have turned in investors’ favor. According to Investment News, an industry executive who asked not to be named said that out of the 33 FINRA arbitration claims filed against […]
Author: Zamansky LLC
FINRA arbitration attorney Jake Zamansky and his team are investigating potential legal claims on behalf of investors who were customers of former UBS Financial Services Inc.’s (“UBS”) financial advisor. Paul Ronald Koch, of Wayzata, Minnesota. According to his FINRA BrokerCheck report, Koch has been barred from association with any securities […]
Investment fraud attorney Jake Zamansky and his team are investigating possible claims on behalf of customers who have been harmed by the alleged misappropriation of customer funds by financial advisor Robert Turner of Waco, Texas. What Happened to Bring About the Investigation? UBS Financial Services is suing former financial adviser […]
According to an April 6, 2022 press release published by the U.S. Securities and Exchange Commission (SEC), GWG Holdings Inc. has received a notification of non-compliance from Nasdaq. As stated in the SEC’s press release, the notification is based on the fact that GWG “was not in compliance with requirements […]
These days, retirees on fixed incomes are undoubtedly very concerned about their investments and savings in general. For retiree investors who have been watching the stock market fall in recent days, you may be wondering what to do next or what options are available to you. If you are working […]
On April 4, 2022, InvestmentNews reported that GWG Holdings Inc. was on the verge of filing for bankruptcy. Citing confidential sources, the media outlet wrote that GWG, “which sold $1.6 billion in bonds backed by life settlements through a network of independent broker-dealers, is preparing to file for Chapter 11 […]
Investment fraud attorney Jake Zamansky and his team are investigating potential legal claims on behalf of investors who were customers of former Morgan Stanley financial advisor, Shawn E. Good, in Wilmington, North Carolina. On April 14, 2022, the Financial Industry Regulatory Authority (FINRA) permanently barred Mr. Good from any association […]
As part of our law firm’s investigation of Emerson Equity and other entities connected to GWG Holdings L Bonds, Zamansky, LLC was published in Businesswire, announcing our investigation of Tony Barouti. Barouti, of the Barouti Foundation, is a representative of Emerson Equity, and is a lead broker-dealer and underwriter of […]
“This was sold as being a relatively safe investment with modest returns,” Jake Zamansky, an attorney who specializes in securities and investment fraud, told Investment News. Read full article at: https://www.kansascity.com
We are investigating potential legal claims on behalf of investors who purchased the FS Energy and Power Fund (FSEN) through a brokerage firm. The FS Energy and Power Fund (FSEN) went public as a business development company formed to invest in gas, oil and energy companies. Over the past year, […]