EV Energy Partners LP Losses

  ATTENTION INVESTORS EV ENERGY PARTNERS LOSSES If your advisor recommended a concentration of shares in EV Energy Partners and recommended other energy sector investments in your retirement accounts you may be able to pursue an investment recovery. As you may know, as a result of the restructuring, EV Energy Partners will now be known […]

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Variable Annuity Rider Recovery

Did you know that many variable annuities [VA] are sold with additional charges for the variable annuity riders?  These riders often have names like Guaranteed Minimum Income Benefits {GMIB), Guaranteed Annual Withdrawal Benefits (GAW), and there are  a multitude of names and acronyms for the other riders.  Most of these riders purport to provided additional […]

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Financial Elder Abuse

Unfortunately, Financial Elder Abuse is quite common. Seniors often fall prey to unscrupulous brokers and advisors who disregard their investment goals and tolerance for risk. These unscrupulous stockbrokers and financial advisers sometimes promote the sale of financial products that are often completely unsuitable for seniors. The elderly are the fastest growing segment of our society […]

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What Went Wrong with LJM Preservation and Growth Fund

 A Dark Day for Investors in the Misleading LJM Preservation and Growth Fund Feb. 5th and 6th 2018 were dark days for investors in LJM Preservation and Growth Fund. As reflected in posts from the Securities Litigation Consulting Group, the LJM Preservation and Growth Fund (LJMIX) plummeted over 80% (from a price of $10.34 to $1.94) […]

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Questions You Should Ask Your Financial Advisor Today

Everybody wants their finances in tip top shape. Nobody wishes to see curveballs thrown at them in any capacity of life. This includes the financial world, where curveballs happen on a daily basis. Yet we are able to best prepare ourselves for such situations by arming ourselves with the top people to assist us. For […]

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Don’t Be a Victim of Broker Misconduct

Howard M. Rosenfield, an Investment Fraud Attorney located in Farmington, Connecticut, and Boca Raton, Florida, helps investors throughout the U.S. who have suffered financial losses due to broker misconduct through arbitration and mediation proceedings before FINRA, and the American Arbitration Association (AAA). Broker Misconduct May Include Recommending Unsuitable Investments Attorney Rosenfield emphasizes that broker misconduct […]

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YOU TOO CAN RECOVER FROM ADVISOR MISCONDUCT

Did you know that you too can recover from Advisor Misconduct??  Howard M. Rosenfield, an Investment Fraud Attorney located in Farmington, Connecticut, and Boca Raton, Florida, helps investors throughout the U.S. to recover financial losses due to financial advisor misconduct through arbitration and mediation proceedings before FINRA, JAMS, and the American Arbitration Association (AAA). Attorney […]

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VIABLE CLAIMS AND FINANCIAL ADVISOR WRONGDOING

To determine whether a claim against a Financial Advisor is viable, an analysis of the investor profile is vital to see if there has been wrongdoing by the financial advisor.  Losses may be due to market risk that the customer willingly accepted.  Will Rogers supposedly said, “It’s easy to make money in the stock market; […]

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ANNUITY EXCHANGE ABUSE

FINRA and its predecessor, The National Association of Securities Dealers, has undertaken various enforcement actions to alert the brokerage industry and the investing public that generally, the exchange or replacement of Insurance or Annuity contracts is NOT a good idea. The reasons include the following:     New charges may be imposed with the new contract, or […]

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VARIABLE ANNUITIES – Not For You

Why Variable Annuities May Not Be For You       You are being targeted by your friendly insurance/securities broker.  As you may be aware, financial misconduct is one of the fastest growing industries in our country.  While brokerage firms pretend that investor protection and fair dealing with customers is the “foundation” of the securities industry, abuses […]

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