Galvin Legal is launching an investigation on behalf of investors who suffered losses investing in Penneco Drilling Associates 2004-1 at the recommendation of their financial advisor. Investment fraud involves the illegal sale or purported sale of financial instruments. The typical Investment Fraud Lawyer schemes are characterized by offers of low- or no-risk investments, guaranteed returns, overly-consistent returns, complex strategies, or unregistered securities. Tips for Avoiding Investment Fraud: Don’t judge a person or company by their website; flashy websites can be set up quickly. Inquire about all the terms and conditions.
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Securities LawyerGalvin Legal can help investors who have suffered investment losses recover anywhere in the United States.
Galvin Legal is a full service securities litigation, arbitration, and mediation law firm that focuses on the representation of investors who have been defrauded by their broker-dealer, Securities Lawyer with employment related litigation and promissory note issues, and broker-dealers requiring regulatory defense, compliance consulting, and other legal services. Broker-dealers and connected persons have three main suitability obligations. First, the reasonable-basis obligations requires that there be a reasonable basis to believe, based on reasonable diligence, that the recommendation is suitable for at least some investors. Second, the customer-specific obligation requires that there be a reasonable basis to believe that the recommendation is suitable for a particular customer based on that customer's investment profile. Finally, quantitative suitability requires that a broker-dealer or associated person who has actual or de facto control over a customer account to have a reasonable basis for believing that a series of recommended transactions, even if suitable on their own, are not excessive or unsuitable for the customer taken together. |
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October 2017
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