{"id":2639,"date":"2017-01-04T00:00:00","date_gmt":"2017-01-04T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/"},"modified":"2018-10-08T12:38:42","modified_gmt":"2018-10-08T16:38:42","slug":"unauthorized-trading-unsuitability-unit-investment-trusts","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/","title":{"rendered":"Former Minnesota Broker Under Investigation for Numerous Allegations of Unauthorized and Unsuitable Trading in Unit Investment Trusts"},"content":{"rendered":"<p>Silver Law Group is investigating former <a href=\"https:\/\/brokercheck.finra.org\/Firm\/Summary\/6905\" target=\"_blank\">Feltl &amp; Company (CRD# 6905)<\/a> broker <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/2342087\" target=\"_blank\">Lance J. Ziesemer (CRD# 2342087)<\/a> for a plethora of filed FINRA arbitrations alleging unauthorized trading, unsuitable recommendations, and other securities misconduct, including activity involving unit investment trusts (\u201cUITs\u201d).<\/p>\n<p>According to Ziesemer\u2019s FINRA BrokerCheck Report, Ziesemer has 12 disclosures, a large majority of them coming in the past four years.<\/p>\n<p>In November 2008, FINRA suspended and fined Ziesemer for settling with two clients and not reporting it.\u00a0 FINRA alleges that Ziesemer settled quietly to purposely avoid reporting the settlements, according to the <a href=\"http:\/\/disciplinaryactions.finra.org\/Search\/ViewDocument\/13236\" target=\"_blank\">Acceptance, Waiver &amp; Consent (\u201cAWC\u201d)<\/a> entered into between Ziesemer and FINRA.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/\"  title=\"Continue Reading Former Minnesota Broker Under Investigation for Numerous Allegations of Unauthorized and Unsuitable Trading in Unit Investment Trusts\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Silver Law Group is investigating former Feltl &amp; Company (CRD# 6905) broker Lance J. Ziesemer (CRD# 2342087) for a plethora of filed FINRA arbitrations alleging unauthorized trading, unsuitable recommendations, and other securities misconduct, including activity involving unit investment trusts (\u201cUITs\u201d). According to Ziesemer\u2019s FINRA BrokerCheck Report, Ziesemer has 12 disclosures, a large majority of them [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2639","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Minnesota Broker Under Investigation for Issues with Unit Investment Trusts<\/title>\n<meta name=\"description\" content=\"If you have lost money investing with Lance J. Ziesemer and Feltl &amp; Company, contact our firm for information on how you can try to recover your losses.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Minnesota Broker Under Investigation for Issues with Unit Investment Trusts\" \/>\n<meta name=\"twitter:description\" content=\"If you have lost money investing with Lance J. Ziesemer and Feltl &amp; Company, contact our firm for information on how you can try to recover your losses.\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Minnesota Broker Under Investigation for Issues with Unit Investment Trusts","description":"If you have lost money investing with Lance J. Ziesemer and Feltl & Company, contact our firm for information on how you can try to recover your losses.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/","twitter_card":"summary_large_image","twitter_title":"Minnesota Broker Under Investigation for Issues with Unit Investment Trusts","twitter_description":"If you have lost money investing with Lance J. Ziesemer and Feltl & Company, contact our firm for information on how you can try to recover your losses.","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/","url":"https:\/\/www.silverlaw.com\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/","name":"Minnesota Broker Under Investigation for Issues with Unit Investment Trusts","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2017-01-04T05:00:00+00:00","dateModified":"2018-10-08T16:38:42+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"If you have lost money investing with Lance J. Ziesemer and Feltl & Company, contact our firm for information on how you can try to recover your losses.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/unauthorized-trading-unsuitability-unit-investment-trusts\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Former Minnesota Broker Under Investigation for Numerous Allegations of Unauthorized and Unsuitable Trading in Unit Investment Trusts"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2639","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=2639"}],"version-history":[{"count":2,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2639\/revisions"}],"predecessor-version":[{"id":6969,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2639\/revisions\/6969"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=2639"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=2639"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=2639"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}