Close
Skip to Content
High Contrast
Increase Text Size
Clear All
Securities Fraud Blog
Toll Free
888-527-3427
Local
818-760-9880
Home
Meet The Attorneys
Jonathan W. Evans
Michael S. Edmiston
Firm Overview
In The News
On Social Media
Videos
Securities
Northstar Financial (Bermuda)
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
NOP Myth
P&L
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Affinity Fraud
Breach of Contract
Fraud
Failure to Conduct Due Diligence
Failure to Disclose Facts and Risks
Failure to Execute Trades
Misrepresentation/Omission
Overconcentration
Selling Away
Account Churning
Ponzi Schemes
Scams Involving High Yield CDs
Stockbroker Fraud
Transferring Your Investment Account
Theft/Conversion
Unauthorized Trading
Unsuitable Securities
Securities Fraud
Signs of Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Breach of Fi-Du
Negligence
State Securities Laws
Suitability
Products
Annuities
Bonds
Limited Partnerships
Mutual Funds
Options
Principal Protected Notes
Private Placements
Promissory Notes
REITs
Reverse Convertibles
Stocks
Structured Products
TICs
UITs
Frequently Asked Questions
Attorney Referrals
Video Center
Testimonials
Recoveries Obtained
Site Search
Contact Us
Local Office
818-760-9880
Top
Unit Investment Trusts
Featured
Year
Select a Date
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Clear All
January 09, 2024
LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures
May 10, 2023
Centaurus Financial's Donnie Ingram Sanctioned for Unsuitable UIT and REIT Recommendations
January 25, 2019
Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
September 07, 2018
Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations
June 06, 2019
Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading
January 23, 2019
FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
August 14, 2018
StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices
July 26, 2018
National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct
