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Zamansky LLC is investigating Aegis Capital Corp. (“Aegis Capital”) in relation to the firm’s sale of variable interest rate structured products (VRSPs) to retail investors. Aegis Capital recently entered into a consent decree with the U.S. Securities and Exchange Commission (SEC) in relation to its sale of VRSPs, and as […]
As retail investors wait to see how the markets will ultimately respond to the turmoil of 2022, it is important to keep in mind that market downturns are not the only risks these investors face. Investment fraud is a very real concern as well, and investors face risks ranging from […]
Understanding GWG L Bond Losses and How Emerson Equity Allegedly Defrauded Investors Through the Sale of High-Risk L Bonds Latest News: GWG Holdings Inc filed for Chapter 11 Bankruptcy on 4/20/2022. The time for investors to act is now! When GWG Holdings Inc. (GWG) defaulted on its L bond interest […]
Investment fraud is an issue that affects an untold number of investors each year. From unscrupulous brokers to fake investment “opportunities,” investors face numerous risks, and they must be diligent to protect themselves as best they can. Recently, the U.S. Securities and Exchange Commission (SEC) has published several Investor Alerts […]
Clients Recover 100% of UBS YES Loss Recently, we discussed how the tables were turning in favor of investors who were involved in UBS-YES arbitration. Attorney Jake Zamansky and his team are proud to announce that our work has added to the recent wins by investors. See the significant FINRA […]
The U.S. Securities and Exchange Commission (SEC) has announced a landmark settlement with UBS Financial Services Inc. related to the firm’s Yield Enhancement Strategy (YES). According to the SEC, UBS “has agreed to pay approximately $25 million to settle fraud charges relating to a complex investment strategy referred to as […]
Each year we represent dozens of investors who have suffered fraudulent losses in FINRA arbitration. The Financial Industry Regulatory Authority (FINRA) regulates securities brokers and brokerage firms, and FINRA arbitration provides a streamlined forum for defrauded investors to pursue claims for recovery. Now that we’re halfway through the year, here […]
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 […]
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 […]