On October 4, 2011, a FINRA Arbitration Panel sitting Portland, Oregon, in the matter of James D. Brogden, et. al. v. Merrill Lynch Pierce Fenner & Smith, Inc., FINRA Arbitration Number 10-01725 rendered an arbitration award against Merrill Lynch for $96,049 of the $309,358 in damages sought in connection with the recommendation to purchase Federal […]
Read More »
Tag Archives: Fannie Mae
FINRA Arbitration Panel Weighs Overconcentration In Fannie Mae Preferred Suitability Case
October 19, 2011 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unsuitable Investment Recommendations | 0 Comments
Claims From the Risky Recommendation of Wachovia, Fannie Mae, Freddie Mac, Bear Stearns, & Lehman Brothers
October 08, 2008 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments
PHILADELPHIA – PA Nicholas J. Guiliano of the Guiliano Law Group, P.C., in Philadelphia, Pennsylvania announced today he is actively investigating and pursuing fraud claims against certain securities broker-dealers resulting from the risky or unsuitable recommendation of the securities of certain financial institutions. Tens of Billions Lost in Securities Investment Trusts, Labor Unions, Pension Funds, […]
Read More »