As a stock market investment, your financial advisor and brokerage firm owe you certain legal duties and responsibilities when you entrust them to manage your hard-earned monies. Unfortunately, they don’t always do the right thing, and may act in their own self-interest at your direct financial expense. It is not always easy to spot. Pay...Read More

UBS Financial Services, Inc. was a big seller of Lehman Principal Protected Notes, hawking almost $1 billion worth to its clients. The Lehman Notes were pitched to investors, including retirees and the elderly, seeking a safe and conservative “risk free” haven for their monies. As is now painfully clear, the “100 percent principal protection” guarantee...Read More

The Securities and Exchange Commission has alleged in court that the late Kenneth Wayne Mcleod engaged in a long-running Ponzi scheme that targeted and defrauded active and retired Federal Employees. The core of the alleged fraud involved McLeod’s sale of the FEBG Bond Fund, which he touted as a safe and conservative investment that would...Read More

Pitched to investors as a defensive, hedged play against market downside, the Foresee Strategies Insurance Funds certainly did not perform as represented, causing tremendous losses to many individual investors who never intended to speculate or take substantial risks with their hard earned monies. The Foresee Strategies Insurance Funds were shut down in May of 2010....Read More

The Law Firm of David R. Chase, P.A. (the “Firm”), headed by former Securities and Exchange Commission Prosecutor, David R. Chase, is currently representing investors across the nation, including elderly retirees, in FINRA Arbitration cases against Deutsche Bank Securities for its sale of the Aravali Fund, LP.The cases generally allege that Deutsche Bank misrepresented the...Read More

The securities law firm of David R. Chase, P.A. (the “Firm”), headed by former SEC Prosecutor David R. Chase, is currently investigating claims on behalf of investors who purchased Lehman Brothers Principal Protected Notes or other Lehman Structured Notes, which were heavily marketed and sold by several of the major Wall Street Firms, including UBS....Read More

The Law Firm of David R. Chase, P.A., headed by former Securities and Exchange Commission Prosecutor and Special Assistant United States Attorney, David R. Chase, is currently representing investors against securities brokerage firms, including Securities America and Workman Securities Corporation, which sold Medical Capital Securities.  These FINRA Arbitration claims allege that the brokerage firms failed...Read More