Colling, Gilbert, Wright & Carter Securites Fraud

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Friday, July 29, 2011

Securities and Exchange Commission Issues Structured Product Report

On July 27, 2011, the Securities and Exchange Commission staff issued a report identifying common weaknesses seen in sales of structured securities products and describing measures by broker-dealers to better protect retail investors from fraud and abusive sales practices.

The summary report can be viewed here.

If you have purchased a structured product through your brokerage firm or investment advisor and lost money, you may be entitled to compensation. Please contact our office for a free case evaluation.

Labels: breach fiduciary duty, broker misconduct, fraud, lack of due dilligance, misrepresentation/omission

posted by William B. Young Jr. Esq. at 7:27 AM

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