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on Your Side
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Practice Areas
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Commercial Litigation
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Contracts and Other Disputes
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- Florida’s Deceptive and Unfair Trade Practices Act (FDUTPA)
- Implied Covenant of Good Faith – Breach of Contract
- Novation of an Existing Contract
- Option Contracts
- Oral Modification of Written Contract
- Preliminary and Permanent Injunctive Relief
- Right of Florida Shareholders to Inspect Corporate Records
- Statute of Limitations – FAQs Promissory Note
- Written Contracts – Specific Performance
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Elder Abuse / Financial Fraud
- Abusive Sales – Churning
- Certificates of Deposit or Bond Scams
- Charitable Gift Annuity Scam
- Diminished Financial Capacity
- Durable Power of Attorney Elder Senior and Retirement Financial Abuse and Exploitation
- Elder, Senior and Retirement Financial Abuse and Exploitation Relating to Variable and Fixed Annuities
- Equity Indexed Certificates of Deposit
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- Prime Bank Schemes
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- Promissory Note Scams Focusing on Seniors and Retirees
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Investment-Related Information
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- CUSIP – What Is It?
- Excessive Trading – Churning
- FINRA, SEC and CFTC Rules
- Forex Trading – Foreign Currency Exchange
- Form ADV for Investment Advisers
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- Information Available to Investment Company Shareholders, Such as Mutual Funds and Unit Investment Trusts
- Investment Adviser FAQs
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- Leveraged and Inverse ETFs
- Municipal Bond Trade Information
- Municipal Bonds Risks and Other Considerations
- Municipal Securities Markets – How They Work
- Nationally Recognized Statistical Rating Organization
- Oil and Gas Offerings – Boca Raton, Florida Oil and Gas Investment Fraud and Misrepresentation Attorney
- Online Investment Newsletters – Real or Fake?
- Opening a Brokerage Account
- Prime Bank and Other Related Bank Frauds
- SIPC Securities Investors Protection Corporation
- Social Media, the Internet and Securities Fraud and Misrepresentation
- Stock Losses – Fraud or Broker Misconduct
- Structured Settlements
- Transactions (Trades) in Three Days: T+3
- The Art of the Pump and Dump
- The Use of Risk and Margin
- Transfer Agents
- Unregistered Securities Offering – Red Flags
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Securities, Commodities and Precious Metals Terms
- Asset Allocation and Mismanagement
- Asset Backed Securities Fraud
- Balance Sheets
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- Board of Directors Duties and Responsibilities
- Bond Characteristics
- Bond Mutual Funds
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- Broker Dealer Confirmations
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- Cash Accounts
- Cash Flow Statements Accounting Malpractice
- Certificates of Deposit
- Charitable Gift Annuity
- Churning Activity
- Churning and Excessive Trading
- Deferred Variable Annuity Suitability
- Emerging Market Risks
- Exchange Traded Funds Basics
- FAQs About Corporate Bond Negligence
- Financial Statements, Negligence, Fraud and Misrepresentation
- Fixed Deferred Annuities
- Fundamental Analysis
- Futures Contracts on a Commodity
- Hedge Funds
- Income Statement Accounting Negligence and Fraud Attorney
- IPO – Initial Public Offering
- Joint Venture
- Life Settlements – What Seniors Should Know
- Margin Accounts
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- Market Limit, Stop and Day Orders
- Microcap Stocks
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- Mutual Fund Breakpoints and Refunds
- Mutual Funds
- Nontraded Business Development Companies (BDCs)
- Oil and Gas Partnerships Beware
- Option Terminology
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- Price / Earnings Ratio
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- Prospectus – What Is It and How to Read It
- Purchaser Representative
- Qualitative Analysis
- Ratios – Another Way to Analyze Investments
- REITs – Publicly Registered Non-Traded vs. Exchange Traded
- Reverse Convertibles
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- Unit Investment Trusts (UITs)
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- Highlights
- Has Your Broker Been Sued For the Same Thing That Has Happened to You
- Has Your Broker Been Sued by FINRA – Part 1
- Has Your Broker Been Sued by FINRA – Part 2
- Has Your Broker Been Sued by FINRA – Part 3
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Resources
- Does the United States Securities Laws Protect Foreign Investors?
- George Abbott Berry, Registered Representative, Tuscaloosa, Alabama
- Henry Horace Godbee IV aka Chad Godbee (CRD 4536422), Registered Representative, North Little Rock, Arkansas
- SEC Enforcement Actions – Part 1
- SEC Enforcement Actions – Part 2
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News
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- Advantage Metals LLC, Advantage Metal Advisers LLC and Advantage Metals Holdings LLC
- JP Morgan Securities LLC FKA J P Morgan Securities Inc to Pay $153,600,000 to Settle SEC Claim
- Northern Trust Fined $600,000 for Failure to Supervise
- SEC Charges Morgan Keegan and Two Employees With Fraud Related to Subprime Mortgages
- Securities Commodities and Precious Metals News for Foreign Investors
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