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Investment fraud attorney Jake Zamansky and his team at Zamansky LLC are investigating potential legal claims for investors of CION Investment Corporation (NYSE) against broker-dealers and investment firms that recommended and sold the stock. CION is a business development company (BDC) that focuses on providing loans to middle-market companies. On […]
Stockbrokers and investment advisors can (and should) make decisions based on the best information available, but they cannot predict how the market will perform. As a result, sometimes, they will provide bad advice. But, when does bad investment advice amount to investment fraud? FINRA attorney Jake Zamansky explains: Unsuitability of […]
As recently reported by Bloomberg and other media outlets, Chinese real estate development company Evergrande is on the verge of possibly defaulting on $300 billion in debt this week. If Evergrande defaults, this could trigger substantial losses for individual investors. Did Investment Banks Wait Too Long to Take Action on […]
Our UBS Yes Strategy Lawyers Score a Big Win On September 15, 2021, our firm succeeded in securing a $358,000 arbitration award on behalf of a UBS yield enhancement strategy (YES) investor. The three-member arbitration panel also ordered UBS to pay more than 90 percent of the fees incurred for […]
The U.S. Securities and Exchange Commission (SEC) recently issued an Investor Alert warning of digital asset and “crypto” investment scams. According to the SEC, “Fraudsters continue to exploit the rising popularity of digital assets to lure retail investors into scams, often leading to devastating losses.” If you believe that you […]
Excessive trading is a very real concern for investors who work with stockbrokers and investment advisors. Engaging in excessive trading allows brokers and advisors to rack up substantial commissions—and they are able to earn these commissions regardless of the performance of their clients’ portfolios. As a result, brokers and advisors […]
Securities fraud is a major concern for investors in the United States. From corporate disclosure violations to unregistered offerings and broker-dealer conflicts of interest, many types of securities fraud lead to substantial investor losses. If you have information about securities fraud, or if you believe that you may be a […]
When choosing an advisor to help plot your financial future, it is important to make an informed decision. While many financial advisors are extremely good at what they do, others are not; and, unfortunately, there are also many advisors (or “advisors”) who make their money by taking advantage of unsuspecting […]
Many investors in the U.S. who have been riding the wave of the Chinese stock craze have now seen the wave come crashing down. As reported by The Wall Street Journal, government crackdowns in the country “have wiped some $400 billion off the value of U.S.-listed Chinese companies,” and at […]
Chinese company stocks listed on U.S. exchanges are among the latest crazes in retail investing. Many investors have poured money into these stocks as a result of some commentators recommending them as “value” buys. However, investing in foreign companies presents unique risks—and this is a lesson that many investors are […]