GREEN & SCHALFLE is a law firm that offers a more personalized approach to complex securities litigation.
The White House estimates that retirement investors lose $17 Billion per year to broker conflicts of interest.
Our legal team has pursued cases nationwide. GREEN & SCHAFLE excels at trial litigation and enjoys a history of impressive settlements on behalf of victims of investment fraud at the hands of some of the nation’s largest stock brokerage firms. In less than a decade, we have represented hundreds of individuals in arbitrations claims filed with FINRA (Financial Industry Regulatory Authority) and recovered millions of dollars in awards and settlements for our clients.
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Our client, an unsophisticated, elderly, widowed investor, lost in excess of $150,000 in her investment accounts in a nine-month period in 2015 as a direct result of her unsupervised Wells Fargo financial advisor’s excessive trading and unsuitable investments.
An unsupervised PCNI financial advisor allegedly perpetrated an ongoing fraud on his wealthy but unsophisticated 80 year-old client by inappropriately recommending more than $22 million in 17 annuity products, earning himself and his brokerage approximately $1 million in ill-gotten commissions.
Over a period of several years, a Morgan Stanley financial advisor who managed our client's family trust accounts allegedly repeatedly mislead our client into believing she was receiving the same discounted fee and commission arrangement as her family on her individual investment accounts.
Elderly investors victimized by unauthorized trading and excessive risk in energy and heavy metal securities as well as low grade investment bonds.
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BROKER MISCONDUCT BLOG >
Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.
Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.
Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.
The US Attorney’s office out of New Jersey recently announced the indictment of an investment fund manager who had allegedly orchestrated a $68 million securities fraud scheme. Fifty-nine year old Brenda Smith of Philadelphia, Pennsylvania was indicted on six counts of wire fraud and one count of securities fraud.
Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.
CURRENT INVESTIGATIONS >
Green & Schafle’s Securities Litigation Team has opened an investigation into high risk oil and energy private placement offering, Adageo Energy.
Green & Schafle has opened an investigation into legal claims on behalf of investors who suffered losses in VIX Exchange-Traded Funds.