Brokers Countersue to Thwart Suits by Unhappy Investors

Photo credits: Cheryl Gerber for The New York TimesJoseph C. Peiffer of the law firm Peiffer Rosca Wolf Abdullah Carr & Kane in New Orleans said he was stunned when Berthel countersued an investor he is representing in a Finra case. “I thought, ‘Could the firm really be saying they can do whatever they want because my client signed a private placement memorandum?’ ”…  Continue reading here

Photo credits: Cheryl Gerber for The New York Times

Alan Rosca (1157 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


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