Articles Posted in Breach of Fiduciary Duty

This post contains a copy of a report issued by the staff of the SEC, NASAA and FINRA and does not reflect the view of, or include findings or conclusions of the Securities and Exchange Commission. The full release is contained on the attached pdf. document. PROTECTING SENIOR INVESTORS:COMPLIANCE, SUPERVISORY AND OTHER PRACTICES USED BYFINANCIAL…

South Florida Elder and Senior Financial Abuse and Breach of Fiduciary Duty Litigation FINRA Arbitration and Litigation Attorney: The North American Securities Administrators Association, Inc. (NASAA) has issued a post that sets forth 10 general tips to help you protect your nest egg. I have modified this list somewhat based upon issues that I have…

South Florida Life Settlement Fraud, Misrepresentation, Breach of Contract and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: This post contains important information that should be considered and questions that should be asked by anyone contemplating entering into a life settlement transaction What is a life settlement? In a “life settlement” transaction, a life…

South Florida, including Vero Beach, Fort Pierce, Port St. Lucie, Jensen Beach, Hobe Sound, Jupiter and West Palm Beach, Municipal and Corporate Bond Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: Municipal Bonds-Staying on the Safe Side of the Street in Rough Times Municipal securities-often called “muni bonds”-are bonds issued by states, cities, counties and…

South Florida, including Boca Raton, West Palm Beach, Stuart and Jupiter, Affinity Fraud and Misrepresentation , Especially in the Area of Elder Abuse, FINRA Arbitration and Litigation Attorney: Affinity Fraud: State securities regulators are warning investors, especially elder people, to be on guard against a rise in affinity group fraud. What is affinity fraud? It`s…

South Florida Peer-to-Peer Lending Litigation and Arbitration Attorney: Peer-to-Peer lending has come under the scrutiny of state regulators as it gains in popularity. State securities regulators are warning investors to be careful of peer-to-peer lending over the Internet, a trend they say is on the rise as conventional loans have become scarcer and more costly.…

Elder and Senior Investor Alert: Free Meal Seminars – Broker/Dealer Fraud, Mismanagement and Negligent Supervision Florida FINRA Arbitration and Litigation Attorney Free Lunch Seminars, Misleading Professional “Senior Specialist” Designations and Abuse Sales Practices: State securities regulators warn senior investors to be aware that a combination of “free lunch” seminars, misleading professional “senior specialist” designations, and…

Seniors Beware: What you Should Know About Life Settlements – South Florida Senior and Elder Financial Abuse Fraud, Misrepresentation and Breach of Fiduciary Duty Litigation and FINRA Arbitration Attorney: Life Settlements: Lately, more and more seniors are hearing about opportunities to sell their existing life insurance for cash in transactions known as life settlements. A…

South Florida, including Dade, Broward, Palm Beach and Martin County, Securities and Investment Broker/Dealer, Investment Advisor and Private Fraud, Mismanagement and Misrepresentation Arbitration and Litigation Attorney What Constitutes a Security: What initially comes to most people’s minds when the word security is mentioned is a stock or bond. Yet, from a legal standpoint, the word…