Shepherd, Smith, Edwards & Kantas: Morgan Stanley Made Unsuitable Investment Recommendations to an Inexperienced Investor
May 19, 2020 12:51 ET
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Shepherd Smith Edwards & Kantas LLP
DALLAS, May 19, 2020 (GLOBE NEWSWIRE) -- Lawyers with Shepherd, Smith, Edwards, & Kantas ("SSEK Law Firm") recently filed a Financial Industry Regulatory Authority (FINRA) arbitration claim...
Olden Lane and AXIO Financial Form Distribution Partnership
November 14, 2017 08:30 ET
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AXIO Financial
NEW YORK and PRINCETON, N.J., Nov. 14, 2017 (GLOBE NEWSWIRE) -- Olden Lane Securities LLC and AXIO Financial announced that they have formed a distribution partnership. Olden Lane is an innovative...
Former SEC Associate Regional Director Lorraine Echavarria to Join WilmerHale's Los Angeles Office
October 11, 2016 11:05 ET
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WilmerHale LLP (Wilmer Cutler Pickering Hale and Dorr LLP)
LOS ANGELES, Oct. 11, 2016 (GLOBE NEWSWIRE) -- Lorraine Echavarria, the former head of enforcement in the Securities and Exchange Commission's (SEC) Los Angeles office, has joined WilmerHale's...
Mischler Financial Extends Structured-Products Team
July 22, 2015 10:04 ET
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Mischler Financial Group
STAMFORD, Conn., July 22, 2015 (GLOBE NEWSWIRE) -- Mischler Financial Group, Inc., the financial industry's oldest and largest minority investment bank and institutional brokerage owned and operated...
Vernon Healy Claim: UBS Used Bait and Switch While Selling Ohio Business Owner Lehman Notes
January 19, 2012 10:27 ET
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Vernon Healy Attorneys at Law
NAPLES, Fla., Jan. 19, 2012 (GLOBE NEWSWIRE) -- UBS fraudulently misrepresented the investment products it was selling to an Ohio business owner, leading him to believe he was buying principal...
Vernon Healy Files an Additional $1.1 Million in Lehman Note Claims Against UBS (UBS)
May 19, 2011 11:26 ET
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Vernon Healy Attorneys at Law
NAPLES, Fla., May 19, 2011 (GLOBE NEWSWIRE) -- Nationwide investor advocacy law firm Vernon Healy filed $1.1 million in securities fraud claims today against UBS for misconduct involving sales of...
Vernon Healy and the Carrigan Law Firm File $1 Million in Securities Fraud Claims Against UBS for Lehman Principal Protected Note Conduct in Texas State Court -- UBS
May 18, 2011 15:13 ET
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Vernon Healy Attorneys at Law
HOUSTON, May 18, 2011 (GLOBE NEWSWIRE) -- Attorneys for investors have filed $1 million in securities fraud charges in Texas state court against UBS in an effort to force UBS to answer for its Lehman...
Vernon Healy Securities Fraud Attorneys File Another Half Million in Principal Protected Note Claims Against UBS -- UBS
March 17, 2011 11:57 ET
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Vernon Healy Attorneys at Law
NAPLES, Fla., March 17, 2011 (GLOBE NEWSWIRE) -- The investor advocacy legal team at Vernon Healy, in conjunction with Orlando, Florida attorney Neal Blaher, filed more than half a million dollars in...
Investor Rights Law Firm Vernon Healy Praises SEC Recommendations to Congress on Stockbrokers' Fiduciary Duty
January 22, 2011 09:26 ET
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Vernon Healy Attorneys at Law
NAPLES, Fla., Jan. 22, 2011 (GLOBE NEWSWIRE) -- The investor rights law firm of Vernon Healy expressed praise for Friday's late SEC recommendation to Congress on needed reform to hold stockbrokers and...
Vernon Healy Files Another $4 Million in Lehman Notes Claims Against UBS, Alleging Securities Fraud in the Firm's Sales of Principal Protected Notes and Other Structured Notes to Investors -- UBS
September 15, 2010 13:03 ET
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Vernon Healy Attorneys at Law
NAPLES, Fla., Sept. 15, 2010 (GLOBE NEWSWIRE) -- The investment fraud attorneys at Vernon Healy today filed another $4 million in claims against UBS (NYSE:UBS), alleging that the firm perpetrated...