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Investor Rights Blog

As most individual investors now understand, oil and gas securities, including common stock, bonds and master limited partnerships (MLPs), can be extremely volatile, high-risk and lead to substantial losses. Over the last few years, certain financial advisors and stockbrokers, and the financial institutions for whom they worked, fell in love with oil and gas securities, particularly for their high-yield dividends in an otherwise low-to-no yield market environment. As a result of this reckless infatuation by...
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The Law Firm of David R. Chase, PA is investigating potential investor claims involving the following stockbrokers and financial advisors: Kevin Murphy FINRA initiated enforcement action against broker Kevin Murphy alleging that in approximately November 2013, he sold $1.2 million of securities (shares and warrants) in a private placement offering to four individual investors and a limited partnership, without the knowledge of his brokerage firm, TGP Securities. Ricky Moore FINRA initiated enforcement action against advisor...
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FORT LAUDERDALE, FL (January 13, 2016) – Silver Law Group and the Law Firm of David R. Chase, P.A. announce their investigation into the suitability of recommendations made by Morgan Stanley financial advisors to their retail clients to purchase Seadrill, Cobalt International Energy and other oil and gas investments, including master limited partnerships (MLPs). The Law Firms are investigating whether certain Morgan Stanley financial advisors made unsuitable recommendations to purchase Seadrill, Cobalt and other oil...
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FORT LAUDERDALE, FL (January 12, 2016) – Silver Law Group and the Law Firm of David R. Chase, P.A. announce their investigation into the suitability of recommendations made by Raymond James financial advisors to their retail clients to purchase Linn Energy (“LINE”) and other oil and gas investments, including master limited partnerships (MLPs). The Law Firms are investigating whether certain Raymond James financial advisors made unsuitable recommendations to purchase Linn Energy, and other oil and...
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UBS has agreed to pay $17.5 million to settle charges from the U.S. Securities and Exchange Commission that the UBS Willow Fund changed its investment strategy focused on distressed debt without informing investors and subsequently lost over 80% of its value. However, investors have lost millions of dollars which have not been recovered. UBS Willow Management LLC and UBS Fund Advisor LLC agreed to be censured and some of the funds will be returned to...
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The Law Firm of David R. Chase, headed by former SEC Prosecutor and stockbroker fraud lawyer, David R. Chase, is investigating possible customer claims of unsuitability and over-concentration with respect to Morgan Stanley Smith Barney’s (Morgan Stanley) representatives’ recommendations of Cobalt International Energy (ticker: CIE) and Seadrill Ltd. (ticker: SDRL). The share prices of Cobalt and Seadrill have plummeted in the last few months causing substantial monetary losses to holders of these stocks. The law...
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The Law Firm of David R. Chase, headed by former SEC Prosecutor, David R. Chase, is investigating possible customer claims of unauthorized trading and improper discretionary trading by Tom A. Puentes, formerly a broker with Morgan Stanley Smith Barney (Morgan Stanley). Morgan Stanley discharged Tom Puentes from employment on October 30, 2014, due to “allegations relating to the registered representative’s use of discretionary trading without written authorization,” according to FINRA’s CRD Report. While employed at...
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