Articles from Zamansky LLC

Zamansky LLC announces that it is investigating family-owned brokerage firm and investment bank, Herbert J. Sims & Co. Inc. (“HJ Sims”), headquartered in Fairfield, CT, over sales of its Reg D offerings. Over the past 10 years, HJ Sims was the sole brokerage firm selling 84 private securities offerings under SEC Regulation D (“Reg D”).

Zamansky LLC announces that the United States Securities and Exchange Commission (SEC) has today reached a $25 million settlement with UBS Financial Services Inc. (UBS) regarding its sale of the UBS Yield Enhancement Strategy (YES).

Zamansky LLC is investigating potential legal claims on behalf of investors who purchased L Bonds of GWG Holdings Inc. (GWGH), through Tony Barouti of Barouti Financial. Barouti Financial has offices in Irvine, Glendale, Woodland Hills, Los Angeles and San Diego, California, and offers retirement, wealth management and investment planning advice and services.

Zamansky LLC is investigating potential legal claims on behalf of L Bond holders who purchased through a representative of Emerson Equity LLC (“Emerson Equity”) Emerson Equity, based in San Mateo, California, was the lead broker-dealer and underwriter of over $2 million of L Bonds which were issued by GWG Holdings Inc. (GWGH), an alternative manager of viatical life settlements.

Zamansky LLC announces that it is investigating Oppenheimer & Co. Inc. (OPY) on behalf of brokerage customers who were investors in the alleged Horizon Private Equity III Ponzi scheme. The law firm is investigating individual FINRA claims for Oppenheimer customers to recover losses suffered as the result of a failure to supervise, aiding and abetting, “selling away” and other wrongful acts.