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National Investment Fraud Lawyers

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LPL Settles with NASAA for $26 Million for Unregistered, Non-Exempt Equities or Fixed-Income Securities

LPL Settles with NASAA for $26 Million for Unregistered, Non-Exempt Equities or Fixed-Income Securities

Posted on Thursday, May 17th, 2018 at 7:31 am    

In May 2018, LPL Financial LLC settled with and agreed to pay the North American Securities Administrators Association (NASAA) as much as $26 million plus 3% simple interest per year to repurchase securities from investors that were held in LPL accounts determined to have been unregistered, non-exempt equity or fixed-income securities sold since Oct. 1,… Read More

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Erez Law and Aldarondo & Lopez Bras File Claim Against UBS for Elderly Couple With $850,000 Losses Related to UBS Funds and Puerto Rico Bonds

Posted on Wednesday, June 10th, 2015 at 4:35 pm    

Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of a 63-year-old man and his 62-year-old wife for more than $850,000 in losses related to UBS/UBS-PR branded Puerto Rico Funds and Puerto Rico bonds. Aldarondo & Lopez… Read More

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Justice Finally Catches Up with Mark Manuel, alleged promoter of MPire and MRT; He Is Sentenced to 10 Years in Prison for Mail Fraud

Posted on Friday, May 1st, 2015 at 9:37 am    

Mark Manuel, who was alleged to have been a promoter of the schemes known as MPire and MRT, was sentenced to 10 years in federal prison for fraud, in an unrelated scheme known as Eden Gifted Products. Mark Manuel was one of three defendants sentenced to prison in July, 2014. United States Attorney Bill Nettles… Read More

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Erez Law Investigating Claims Involving Former Wells Fargo Broker Who Ran Miami Nightclub

Posted on Tuesday, April 28th, 2015 at 8:42 am    

Erez Law is investigating claims regarding Aaron Robert Parmether (CRD #2546369, Fort Lauderdale, FL), also known as Ron Parmether. Parmether recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2011030405801. Parmether was associated with Wells Fargo Advisors LLC from October 2011 until his… Read More

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SEC Charges VCAP Securities and Brett Thomas Graham with Committing Fraud During CDO Liquidations

Posted on Friday, February 20th, 2015 at 9:22 am    

The Securities and Exchange Commission recently announced charges against New York City-based brokerage firm VCAP Securities and its CEO, Brett Thomas Graham, for fraudulently deceiving other market participants while conducting auctions to liquidate collateralized debt obligations (CDOs). VCAP and Graham together agreed to pay almost $1.5 million to settle the SEC’s charges, and Graham is… Read More

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Erez Law Investigating Claims Involving UBS’s V10 Enhanced FX Carry Strategy

Posted on Tuesday, February 17th, 2015 at 11:26 pm    

Erez Law is investigating claims regarding UBS’s V10 Enhanced FX Carry Strategy (“V10”), “in which the switch from long to short and back is systematically driven by a trading algorithm,” according to UBS’ website. When the European debt crisis hit in mid-2010, however, the index to which the notes were tied lost 26 percent in… Read More

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Erez Law and Aldarondo & Lopez Bras File Claim Against UBS for Elderly Couple with More than $280,000 in Losses Related to Puerto Rico Bonds and UBS Funds

Posted on Saturday, November 8th, 2014 at 8:50 am    

Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of an elderly couple who suffered more than $280,000 in losses related to UBS/UBS-PR branded Puerto Rico Funds and Puerto Rico bonds. Aldarondo & Lopez Bras is a… Read More

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Erez Law and Aldarondo & Lopez Bras File Claim Against UBS for Elderly Brothers with More than $200,000 in Losses Related to Puerto Rico Bonds and UBS Funds

Posted on Monday, October 20th, 2014 at 8:41 am    

Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of three elderly brothers who suffered more than $200,000 in losses related to UBS/UBS-PR branded Puerto Rico Funds and Puerto Rico bonds. Aldarondo & Lopez Bras is a… Read More

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Erez Law and Aldarondo & Lopez Bras File Claim Against UBS For Retired Professor With More Than $1 Million in Losses Related to Puerto Rico-Focused UBS Bonds

Posted on Monday, October 6th, 2014 at 7:12 pm    

Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of a 77-year-old retired professor who suffered more than $1 million in losses related to UBS/UBS-PR branded Puerto Rico Funds. Aldarondo & Lopez Bras is a separate law… Read More

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Fannie Mae/Freddie Mac Securities Tumble Following Dismissal of Investor Suits Alleging Government Sweep of Profits to be Illegal

Posted on Thursday, October 2nd, 2014 at 6:51 pm    

On Tuesday, September 30, 2014, after the markets closed, U.S. District Judge Royce Lamberth issued an order dismissing lawsuits filed by Fairholme Capital Management LLC, Perry Capital LLC, and other shareholders, which claimed that the government acted illegally in 2012 when it enacted legislation requiring Fannie Mae and Freddie Mac to pay nearly all of… Read More

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