Articles Posted in Sales Practice Violations

SEC Fines UBS for Improper Sales of Reverse Convertible Notes
The Doss Firm

The Securities and Exchange Commission has announced that UBS Financial Services will pay more than $15 million to settle charges related to unsuitable sales of reverse convertible notes (“RCNs”) to individual (“retail”) investors.  The SEC found that UBS failed to adequately educate and train its sales force in connection with the sale of RCNs as a result…

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Attention Former Customers of Leavitt Freeman Sanders: You May Be Able to Recover Your Investment Losses
The Doss Firm

Our firm has already filed many individual lawsuits alleging, among other things, investment fraud against Leavitt Sanders and the firms that he traded through.  Those firms include Invest Financial, Triad Advisors, Capital Asset Advisory Services, Sanders Yearian Advisory Group and Leavitt Financial Group. We have developed direct evidence that supports the allegations that these firms…

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Workers Saving for Retirement Need Brokers to Act as Fiduciairies, Government Research Finds
The Doss Firm

A just-released government memorandum finds that people investing for retirement have lost billions of dollars as a result of abusive sales practices, and that brokers handling retirement accounts should be held to a stricter fiduciary duty standard to better protect workers’ retirement savings, according to an InvestmentNews article entitled “Brokers under White House scrutiny for…

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Sudden Collapse of Oil Prices Surprised Stock Market, but Not Industry Insiders
The Doss Firm

The collapse in oil prices was a major shock that took a lot of people by surprise. For years the story line had been that the world was running out of oil and America was dependent on foreign oil produced by governments not friendly to U.S. interests. With dwindling supplies, the price of oil had…

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