Sentences with phrase «against investment adviser»

State actions against investment adviser firms nearly doubled in 2011, NASAA says.

The survey comes on the heels of another report indicating that complaints by Canadians against investment advisers are at record highs.

The appeal court upheld findings of liability against investment advisers Howard Miller and Francis Cheng on the basis that both ought reasonably to have known that their respective tippers stood in a special relationship with the issuer.

Not exact matches

My question is, our financial adviser advised against contributing more than what my husband's company will match in his 401K because they only match $ 900 / year and the investment options are very basic — Bond (Fixed Income) or Large Cap (equities).

That's what Joseph Daines, a retired orthopedic surgeon, and his wife Susan allege in a lawsuit against local investment adviser Mark Matsko and his firm Selway Asset Management.

How would you feel if the financial adviser you hired to take care of your investments had four previous instances of customers filing a complaint against them?

Work highlights Appeared in the Supreme Court for investment adviser Charles Kokesh against the SEC, successfully arguing that a five - year statute of limitation governing penalties and forfeitures applies to SEC claims seeking disgorgement of illegally obtained profits.

The Clarks received the maximum # 100,000 award from the FOS over unwise investment advice that caused them to lose more than # 300,000, and then issued proceedings against their financial adviser to recoup the balance of their loss.

According to the Investment Industry Regulatory Organization of Canada, there were a total of 99 enforcement actions against financial advisers in 2010.

In line with Chambers» expertise in professional liability, members of chambers are frequently instructed in claims against financial advisers, including investment, mortgage, pension and tax advisers.

While many financial advisers remain steadfast against using life insurance for investment purposes, claiming the returns, historically, have been extremely weak compared to mutual funds and other investments, the fact remains the cash value of most whole life insurance policies grows over time.

The ban will keep the firm's nearly 17,000 financial advisers from suggesting Bitcoin - related investments and advises against client requests to invest and trade in the cryptocurrency, which has a history of fluctuating wildly despite producing massive gains over the past year.