Securities Fraud and Mismanagement

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Investigation of Harold Stephen Pomeranz

by | May 18, 2017 | Uncategorized

Harold Stephen Pomeranz of Stifel Nicolaus of New York entered into a regulatory settlement with FINRA regulators to settle charges against him.  Though Pomeranz neither admitted or denied fault, FINRA asserted the following factual findings and assessed a deferred...

Morgan Stanley ETF Losses

by | Feb 15, 2017 | Uncategorized

If you have suffered losses with an ETF purchased through Morgan Stanley please call 1-866-817-0201 for a free and confidential consultation with a private attorney concerning your rights. We have reason to believe that Morgan Stanley engaged in systematic wrongdoing...

Paul Lebel of LPL

by | Oct 19, 2016 | Uncategorized

Paul Lebel, a broker formerly registered with LPL Financial, was barred on Tuesday, October 18, 2016, by the Securities and Exchange Commission for churning and excessively trading mutual funds in customer accounts and generating excess fees.  If you suffered losses...

UBS Investor Loss Recovery

by | Sep 29, 2016 | Uncategorized

If you are an investor with UBS suffering losses in investments made between 2011 and 2014 you may be entitled to a recovery.  Please call 1-866-817-0201 for a free consultation. As reported by Rueters, UBS Group AG has agreed to pay more than $15 million to settle...