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Investor AlertLATEST INVESTOR ALERT!If you purchased Kemper Lumberman Notes from Morgan Stanley & Co. or Morgan Stanley Dean Witter, contact us for a free consultation to discuss your legal rights and the possibility of recovery. Securities Fraud Attorney Mark A. Tepper has begun investigating the Schwab Yield Plus Select Fund (NASDAQ: SWYSX) and Schwab Yield Plus Fund (NASDAQ: SWYPX), following inquiries from investors who sustained losses in the Schwab Yield Funds. Charles Schwab (NASDAQ: SCHW) is accused in a number of proposed class actions of misleading investors by describing the Yield Plus Fund in prospectuses as only "marginally" riskier than cash. Investors in the Schwab Yield Plus Funds who believe that instead of a money market fund they received a mutual fund concentrated in speculative, risky mortgage backed securities and should seek legal advice about their rights. Investors who lost money in Schwab Yield Plus Funds and who wish discuss all of their legal options including the possibility of filing an individual arbitration claim should contact attorney Mark A. Tepper for a free consultation regarding your legal rights and remedies. Click here to email askmark@marktepper.com to confer with Mark A. Tepper about Securities Fraud or telephone our office for your free consultation at (954) 961-0096). Attention Investors of Evergreen Ultra Short Opportunities FundLegal action is being taken against Evergreen Investment Management Co LLC, Evergreen Fixed Income Trust, Evergreen Investment Services, Inc., Evergreen Distributor, Inc., which is now owned by Wachovia Corporation for investments in Evergreen Ultra Short Opportunities Fund known by the following symbols: EUBAX, EUBBX, EUBCX, EUBIX, if you lost money in any of these investments, you should contact an attorney for advice. Call Mark A. Tepper, PA for a free consultation. If you purchased or held Bear Stearns stock, call us for a free consultation to evaluate your claim for damages. If you invested in Morgan Keegan income funds (see list below), managed by Fund Manager Jim Kelsoe, you have suffered large losses. These losses occurred because the funds had too much invested in risky collateralized mortgage, bond, sub prime and derivative securities which was not adequately disclosed. RMK High Income Fund (RMH) Mark Tepper will personally evaluate your claim and represent you in any claim filed. FINRA ALERTS (formerly NASD) During the Months of August, September and October, 2008, FINRA reported that it suspended, fined and/or sanctioned the following firms and/or individuals for violations of the rules and regulations that govern the securities industry (securities fraud): Scottrade, Inc. (CRD #8206, St. Louis, Missouri); UBS Securities LLC (CRD #7654, Stamford, Connecticut); Johnson Rice & Company, L.L.C. (CRD #19524, New Orleans, Louisiana) and Edward Douglas Johnson Jr. (CRD #259293, Registered Principal, New Orleans, Louisiana); Southwest Securities, Inc. (CRD #6220, Dallas, Texas); SWS Financial Services (CRD #17587, Dallas, Texas); Tradestation Securities, Inc. (CRD #39473, Plantation, Florida); Stonegate Partners, LLC (CRD #43034,Wakefield, Massachusetts) and Brian Westbrook Bernier (CRD #1298285, Registered Principal, Essex, Massachusetts); Tejas Securities Group, Inc. (CRD #36705, Austin, Texas) and Michael Lee Cuckler (CRD #2139887, Registered Principal, Austin, Texas); A.G. Edwards & Sons, Inc. (CRD #4, St. Louis, Missouri); Alton Securities Group, Inc. (CRD #39639, Alton, Illinois); The Benchmark Company, LLC (CRD #22982, New York, New York) (FINRA Case #20060041047-01); Nordic Partners Inc. (CRD #44734, New York, New York); Oppenheimer & Co. Inc. (CRD #249, New York, New York); Stanford Group Company (CRD #39285, Houston, Texas); Linsco/Private Ledger Corp. nka LPL Financial Corporation (CRD #6413, Boston, Massachusetts) and Phillip Scott Eggers (CRD #2064151, Registered Principal, Frisco, Texas); Cascadia Capital, LLC (CRD #101020, Seattle, Washington) and Michael Joseph Butler (CRD #1607507, Registered Principal, Seattle, Washington); A.G. Edwards & Sons, Inc. (CRD #4, St. Louis, Missouri); and Chardan Capital Markets LLC (CRD #120128, New York, New York). INVESTOR ALERT! FINRA announced on October 16, 2008 that it imposed a $1.1 million fine on Banorte Securities International, Ltd. for unsuitable sales of Class B shares in off-shore mutual funds as well as failing to have adequate supervisory systems to monitor those sales; and FINRA also announced on October 15, 2008 that it has fined SunTrust Investment Services, Inc., $700,000 for supervisory violations relating to its fee-based brokerage business and to commissions on certain low-priced stocks.If you were an investor of any of these firms, you should re-check your statements. If you find any irregularities, call Mark A. Tepper PA for your free intial consultation to discuss your legal rights. Mark A. Tepper, Esq., has represented numerous individuals who had, and currently have, securities fraud claims. If you want an experienced securities fraud lawyer, Click here to Contact Us to ask Mark Tepper About Securities Fraud or telephone our office for your free consultation at (954) 961-0096). IF YOU WISH TO DISCUSS YOUR INVESTMENT PROBLEM Contact Us to Ask Mark Tepper About Securities Fraud , phone us at (954) 961-0096 for a free consultation or email us directly at askmark@marktepper.com The following links will provide information to investors: NASD fines Morgan Stanley Firms $2.9 Million for Widespread Violations of NASD Rules NASD Hearing Panel Fines American Funds Distributors $5 Million for Directed Brokerage Violations NASD News Release Prudential Securities, Inc. Ordered to Pay Regulators $600 Million to Resolve Fraud, Other Charges Relating to Improper Market Timing NASD News Release Commodity Futures Trading Commission Exposes Fraud Stock Spams and Scams NASD Investor Information Analyzing Analyst Recommendations (from the Securities & Exchange Commission) Investor Alerts & Tips from the North American Securities Administrators Association (NASAA) TO SPEAK WITH ONE OF OUR STAFF MEMBERS, CALL (954) 961-0096 NOW! |
