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If you are like many of the wealthy individuals who invested in UBS’ yield enhancement strategy (YES), your investment in the strategy yielded substantial losses. The market plunge at the end of 2018 came first, and then the COVID-19 pandemic crashed the securities market again in 2020. In between, various […]
It has been almost two years since the first warning flags about UBS’s yield enhancement strategy (YES) went up. In the time since, we have filed claims on behalf of many aggrieved investors, and unfortunately, many more investors have experienced substantial losses. If you have suffered losses with the UBS […]
The U.S. Securities and Exchange Commission (SEC) recently filed charges against a Florida attorney and a disbarred New York attorney who are accused of engaging in an investment fraud scam from December 2015 through July 2018. According to an SEC press release, the current and former attorneys, Thomas Craft and […]
On November 9, 2020, the U.S. Supreme Court denied a petition for certiorari (which, in layman’s terms, is simply a formal request to review a lower court’s ruling) in the case of Retirement Plans Committee of IBM v. Jander. At issue were the following: 1. Whether Fifth Third Bancorp v. Dudenhoeffer’s “more […]
The Financial Industry Regulatory Authority (FINRA) recently launched a new website, and its new site includes a “For Investors” section that provides several useful tools and resources for individuals who invest directly through their own brokers and advisors. If you have questions about investment options or how to recover fraudulent […]
The U.S. Securities and Exchange Commission (SEC) recently announced that it has settled charges against The Cheesecake Factory based on allegations that the company made fraudulent representations in its public disclosures. According to the SEC’s press release, “[t]he action is the SEC’s first charging [of] a public company for misleading […]
As an individual investor, choosing a broker requires careful research. You need to choose a broker who can help you make informed decisions, who will act with your best interests in mind, and who lacks any history of complaints from former clients. The Financial Industry Regulatory Authority’s (FINRA) BrokerCheck tool […]
“Investors should be aware that news reports stating that FINRA has approved a security for trading, quoting or listing are wrong in virtually every respect.” This is an important message that the Financial Industry Regulatory Authority (FINRA) wants all individual investors to know. In addition to inaccurate news headlines, scam […]
As an individual investor, you cannot be too careful when it comes to making decisions about how to invest your hard-earned funds. The risk of losing money to investment scams and other fraudulent practices is a very real concern, and even highly-experienced investors can (and do) lose substantial sums to […]
World Investor Week is an educational effort promoted by the U.S. Securities and Exchange Commission (SEC) and various other securities regulators throughout the United States and around the world. Each year, the SEC promotes a handful of key messages that are, “focus[ed] on long-term investing; understanding key financial concepts such […]