» broker

Dallas, TX (Law Firm Newswire) August 13, 2015 – The U.S. Securities and Exchange Commission (SEC) is cracking down on unregistered broker dealers receiving commissions within the EB-5 Immigrant Investor Program. The EB-5 program allows a foreign national to obtain a green card if he or she invests money in the United States, either in a new or existing business, or in a “regional center,” a third-party managed investment vehicle. Regional centers are permitted to charge the immigrant investors an administration fee for creating and developing investment projects, but as recent action by the SEC makes clear, companies, immigration attorneys […]


Continue reading full article »

New York, NY (Law Firm Newswire) June 15, 2014 – Zamansky LLC has filed a FINRA arbitration on behalf of an elderly investor against Oppenheimer & Co. Inc. (“Oppenheimer”) who claims that her accounts were churned by her financial advisor. The case is FINRA TN 1400862. The Statement of Claim in the arbitration alleges that the claimant, who is an 85 year-old investor, had her and her late husband’s accounts churned and excessively traded by their financial advisor at Oppenheimer. Although they needed to preserve their money, the Statement of Claim alleges that the Oppenheimer financial advisor concentrated their accounts […]


Continue reading full article »