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Zamansky LLC is investigating the UBS Carlyle Fund I, LLC and UBS Carlyle Fund II, LLC (“UBS Carlyle”), private investment funds sold by UBS Financial Services Inc. (“UBS Financial Services”) and its financial advisors to the firm’s brokerage customers. According to filings with the U.S. Securities & Exchange Commission (“SEC”), […]
This blog said last month that the Feds needed to put Hedge Fund King Steve Cohen behind bars. Now, it looks like the Justice Department lacks the stomach for such a fight and has decided to give SAC Capital and Cohen a free pass. Yes, SAC in March agreed to […]
Zamansky LLC announces that it is investigating ATP Oil and Gas 11.875% Senior Second Lien Exchange Notes (“ATP Notes”), on behalf of investors. The investigation concerns alleged investment advice or sales of these ATP Notes by brokerage firms to customers. Zamansky LLC announces that it is investigating ATP Oil and […]
There is yet one more inside game on Wall Street to which Mom and Pop investors are not invited. Retail investors, it turns out, are being damaged by trades based on classified, private information that insiders pay for and – in just a matter of seconds – use to boost […]
Zamansky LLC has filed a FINRA arbitration against Merrill Lynch, on behalf of an investor who was sold variable annuities with Guaranteed Minimum Income Benefit (“GMIB”) and Early Death Benefit (“EDB”) riders. The case is FINRA No. TN#1300720. Zamansky LLC has filed a FINRA arbitration against Merrill Lynch, on behalf […]
A $230 million arbitration claim by National Australia Bank Ltd. NAB.AU +2.05% alleges that Goldman Sachs Group Inc. GS +0.04% violated industry sales practices related to mortgage-linked securities that later soured, adding to the list of legal skirmishes the Wall Street firm has faced in the wake of the financial […]
Zamansky LLC has filed another FINRA arbitration on behalf of two Ohio investors in the UBS Willow Fund LLC (“UBS Willow Fund”). The case is against UBS Financial Services, Inc. and is FINRA No. TN 13-00702. Zamansky LLC has filed another FINRA arbitration on behalf of two Ohio investors in […]
Zamansky LLC announces that it has commenced an investigation over Caterpillar Inc.’s 401(k) Plan over possible violations of the Employee Retirement Income Security Act (“ERISA”), in connection with the EMA Mining acquisition. Any current or former Caterpillar employees who purchased stock from June 2012 through January 2013 may be eligible. […]
Remember when federal Judge Jed Rakoff scared the bejesus out of Wall Street in 2011? That’s when he refused to sign off on a $285-million civil settlement between Citigroup and the Securities and Exchange Commission over a massive mortgage fraud case. Judge Rakoff balked at the logic of the settlement […]
Zamansky LLC announces that it is investigating Andrew Stuart & Company, and its two principals Stuart Horowitz and Andrew Rosenberg, and their broker-dealers, NFP Securities and Securities America, Inc. The investigation concerns alleged misconduct concerning investment recommendations and financial advice. Zamansky LLC announces that it is investigating Andrew Stuart & […]