Current Investigations
Investors have sustained dramatic investment losses in the recent stock market downturn. Our current investigations are focused on many securities that have been the subject of class action lawsuits. Tramont Guerra & Nunez, PA have filed securities arbitration claims which involve these same securities. Our investigations have determined that, in some instances, the recommended participation in Initial Public Offerings (IPO) underwritten by full-service brokerage firms represented sales practice violations. Our investigations have also revealed that many of the solicited investments in the bank, insurance and financial sectors were made without providing complete disclosure of material facts concerning risk.
Investors may be able to recover investment losses which were the direct result of violations of sales practice rules and regulations, as set forth by the Financial Industry Regulatory Authority (FINRA). Recommendations of unsuitable investments and/or concentrated investments in the financial sector are both causes of action that form the basis for individual securities arbitration claims filed with FINRA. The failure of a full service brokerage firm to comply with the FINRA rules and regulations can result in an award from a securities arbitration panel.
Tramont Guerra & Nunez, PA is currently investigating securities arbitration claims on behalf of investors in the following securities:
- FirstFed Financial Corp
- AmTrust Financial Corp
- RH Donnelley Corp
- Sterling Financial Corp
- Provident Royalties, LLC
- Advanta Corporation
- Medical Capital Holdings
- Washington Mutual
- Wachovia
- Citigroup
- Bank of America
- National City
- Pacific Capital Bancorp
- UCBH Holdings
- BankUnited Financial Corporation
- Citigroup Non-Cumulative Preferred Series
- Royal Bank of Scotland Preferred Series T, S
- American International Group (AIG)
- Fannie Mae Preferred Stock Series S, T
- Fannie Mae
- Freddie Mac
- Banco Santander Optimal Strategic US Equity Fund
- Lehman Brothers Holdings Preferred Stock Series J
- Thornburg Mortgage Preferred Stock Series C, D, E, F
- Lehman Principal Protection Notes
- Proshare Advisors UltraShort Financials Fund
- Proshare Advisors UltraShort Real Estate
- Oppenheimer AMT-Free Fund
- Evergreen Ultra Short Opportunities Fund
- Merrill Lynch Capital Trust Preferred Securities I, II, III
- AIG Junior Subordinated Debentures Series A5
- Fifth Third Bancorp Preferred Stock
- Deutsche Bank Capital Funding Trust
- Barclays Bank ADR Preferred Series
Securities Arbitration Claim
TGN is a securities law firm that represents individual investors in securities arbitration claims. The dedicated legal team at TGN receives no compensation unless there is a successful resolution of your securities arbitration claim. After the completion of our legal review of your case, you will know the following:
- What are the sales practice violations?
- What are the damages in your case?
- What is the expected timeline for the resolution of your case?
- What are the filing fees & costs paid to third parties?
The legal review process starts with a forensic analysis of the transaction history in the brokerage account by both an attorney and a securities arbitration consultant, who have decades of combined experience in securities matters. The legal team will review your brokerage account for sales practice violations in light of your investment objectives, time horizon and risk tolerances, and the reliance placed on your full-service financial advisor and his firm.
Call for a Legal Consultation at No Cost or Obligation
Steps to Recover Your Investment Losses
- Contact Our Legal Team for a Brief Case Facts Summary
- Schedule a Time for an Interview with an Industry Expert
- Gather Critical Case Documents
- Review Assessment of Account Damages with Legal Team
- File Statement of Claim for a FINRA Securities Arbitration