Articles Posted in Current Investigations

We represent 17 clients seeking to recover losses from this fund. Please contact our office immediately if you have losses.

A recent FINRA Alert was released warning investors about the risks inherent with municipal bond purchases. It has come to our attention that certain people were advised to purchase these bonds without understanding the risks involved.  If you purchased municipal bonds on the advice of a financial advisor, broker, accountant, or attorney, and were not advised of…

FINRA is investigating SWS Financial Services for failure to properly supervise sales of variable annuities. Variable Annuities are complicated investments and should only be purchased after careful scrutiny. If you’ve purchased a variable annuity with SWS Financial Services or on the advice of any financial professional please contact us with your concerns. We might be…

REITs are financial products with underlying real-estate assets expected to appreciate, assets that might include, for instance, apartment buildings, developments, mortgages, etc. Non-traded REITs are not freely traded on any exchange. Investors must rely on the issuing company for evaluations, which are difficult if not impossible to independently verify. As a category, the reputation of…

These notes are one example of a product with complex yield calculations based on the performance of a single traded equity, Apple stock in this case, which is piling risk on risk for a start. They offer a relatively lucrative coupon rate along the way, which is attractive in the short term, but the ultimate…

REITs are financial products with underlying real-estate assets expected to appreciate, assets that might include, for instance, apartment buildings, developments, mortgages, etc. Non-traded REITs are not freely traded on any exchange. Investors must rely on the issuing company for evaluations, which are difficult if not impossible to independently verify. As a category, the reputation of…

The sellers of structured CDs categorize them as “fixed income” although they are dependent on the performance of underlying equities or baskets of equities, raising questions (to begin with) about their suitability for retired investors and the role of structured CDs in any portfolio that is properly asset-allocated. FDIC protection of the principal is a…

REITs are financial products with underlying real-estate assets expected to appreciate, assets that might include, for instance, apartment buildings, developments, mortgages, etc. Non-traded REITs are not freely traded on any exchange. Investors must rely on the issuing company for evaluations, which are difficult if not impossible to independently verify. As a category, the reputation of…

REITs are financial products with underlying real-estate assets expected to appreciate, assets that might include, for instance, apartment buildings, developments, mortgages, etc. Non-traded REITs are not freely traded on any exchange. Investors must rely on the issuing company for evaluations, which are difficult if not impossible to independently verify. As a category, the reputation of…

REITs are financial products with underlying real-estate assets expected to appreciate, assets that might include, for instance, apartment buildings, developments, mortgages, etc. Non-traded REITs are not freely traded on any exchange. Investors must rely on the issuing company for evaluations, which are difficult if not impossible to independently verify. As a category, the reputation of…