Articles Posted in SEC

On April 2, 2013, a federal judge rejected Wells Fargo & Co.’s request to dismiss investors’ class action against it. These investors suffered investment losses in Medical Capital Holdings Inc.-issued notes. In addition to the class action, many investors are choosing to file an individual securities arbitration claim with the help of a securities fraud…

Securities fraud attorneys are currently investigating claims on behalf of TNP Strategic Retail Trust Inc. investors. TNP Strategic Retail Trust is a non-traded REIT, or real estate investment trust, which has filed a Securities and Exchange Commission Form 8-K March 19, 2013 that announced its dividend payments are suspended. No dividend payments will be paid…

Securities fraud attorneys are currently investigating claims on behalf of investors with full-service brokerage firms who suffered significant losses as a result of their investment in Paulson & Co.’s Advantage and Advantage Plus hedge funds. Reportedly, the Advantage Fund’s value declined 51 percent in 2011 and 19 percent in 2012. According to Securities and Exchange…

Stock fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses in Equity Linked Structured Products which were tied to the Apple stock price. Apple stock has suffered a significant decline since last year, falling from more than $700 per share to less than $440 per share. While many Apple shareholders…

On December 17, a Financial Industry Regulatory Authority arbitration panel reportedly sided with an investor against Morgan Keegan & Co. Inc. Stock fraud lawyers say the FINRA arbitration panel awarded the investor $1.38 million in settling his complaint related to Morgan Keen proprietary bond funds called the Intermediate Fund. Of the award, $851,000 was for…

A recent announcement from the Financial Industry Regulatory Authority stated that arbitration is open to disputes between investors and registered investment advisers, or RIAs. According to securities fraud attorneys, this is good news for investors who have been the victims of RIA fraud but can’t afford costly court proceedings. It has been unclear for quite…

In a recent Investor Bulletin, the Securities and Exchange Commission warned investors about lost and stolen securities fraud. According to the bulletin, upon retirement of a security certificate, the transfer agent cancels the certificate. This cancellation usually involves an alteration of the certificate and an accounting entry on the transfer agent’s books. Following the cancellation,…

Individuals who suffered significant REIT losses in Wells Timberland REIT and Wells REIT II could recover their losses through securities arbitration. In the latter part of 2011, the Financial Industry Regulatory Authority fined an affiliate of Wells Real Estate Funds, Wells Investment Securities Incorporated, for the use of misleading marketing materials. The $300,000 fine was…

Since the August announcement that CNL Lifestyle Properties REIT I’s value significantly dropped, investors of this product have been seeking avenues for recovering their REIT losses. In many cases, the answer may be Financial Industry Regulatory Authority securities arbitration. The $7.31 adjusted price per share, which is down from the original $10 per share price,…

Many investors are currently seeking recovery of their Inland American REIT losses through Financial Industry Regulatory Authority securities arbitration. Following Inland American’s 10Q Securities and Exchange Commission Q1 filing, investors were made aware of a current investigation being conducted by the SEC. According to this 2012 quarterly report, which was issued in May, Inland American…