Category Archives: Selling Away

The Securities Arbitration Law Firm of Klayman & Toskes Investigates Sale of Gibraltar Partners and Rahfco Funds by Edward Jones Brokers

Posted on November 15, 2011 by Klayman & Toskes

The Securities Arbitration Law Firm of Klayman & Toskes is presently investigating Edward Jones’ supervisory practices and procedures in connetion with two of the firm’s brokers who were allegedly engaged in “selling away” resulting in millions of dollars in customer losses.  “Selling Away” describes the situation where the … Continue reading →

Posted in Arbitration, Edward Jones, FINRA, Lawsuit, Legal Rights and Options, Ponzi Scheme, Selling Away | Leave a comment

‘Selling away’ again a concern for regulators

Posted on October 11, 2011 by Klayman & Toskes

The following story appeared in Investment News on October 2, 2011: Stockbrokers who sell products that promise high returns without the approval of their broker-dealers once again have become a leading concern for state securities regulators. The practice, known as … Continue reading →

Posted in SEC, Selling Away, Thomas Keough | Leave a comment