Articles Posted in General Investment News

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action…

Mutual Fund Unsuitability and Breach of Fiduciary Duty – Boca Raton, Florida FINRA Arbitration and Litigation Attorney. A mutual fund is a fund operated by an investment company that raises money from shareholders and invests in bonds, options, currencies, money market securities, futures, or stocks. Mutual funds are offered by prospectus. The prospectus describes, among…

Registration of Dealers, Associated Persons, and Investment Advisers in the State of Florida – South Florida Securities Attorney: Chaper 517.12 Fla.Stat. labeled Registration of dealers, associated persons, and investment advisers provides in relevant part that: (1) No dealer, associated person, or issuer of securities shall sell or offer for sale any securities in or from offices…

Do CFPs have to register as an Investment Adviser in Florida – Delray, Boynton Beach, Lantana, Boca Raton and West Palm Beach FINRA Arbitration, Litigation and Elder Abuse Attorney: Any person who for compensation refers, solicits, offers, or negotiates for the purchase or sale of investment advisory services is required to be registered in Florida,…

Boca Raton, Fort Lauderdale and West Palm Beach, Florida Elder and Retirement Financial Abuse FINRA Arbitration and Litigation Attorney: Elder and retirees should think twice about investing if you spot any of these red flags of investment fraud: Limited history of posts. Fraudsters can set up new accounts specifically designed to carry out their scam…

Fort Lauderdale, Boca Raton, Delray Beach, Lantana, West Palm Beach and Stuart, Florida Microcap and Penny Stock Fraud and Misrepresentation Litigation, FINRA Arbitration and Elder Abuse Attorney: SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company The Securities and Exchange Commission recently announced fraud charges against four individuals and a microcap…

Boca Raton, Deerfield Beach, Delary Beach, Boynton Beach, Lantana, Lake Worth and West Palm Beach Certified Public Accountant and Public Accountant Independence and Negligence Litigation and Arbitration Attorney: SEC Charges Ernst & Young With Violating Auditor Independence Rules in Lobbying Activities The Securities and Exchange Commission recently charged Ernst & Young LLP with violations of…

Fort Lauderdale, Boca Raton and West Palm Beach, Florida Broker/Dealer FINRA Arbitration and Litigation Attorney: FAQ’s You Should Consider Asking Before You Initiate Your Account Transfer: Discussing the transfer process with your new firm is the best way to become familiar with the account transfer process. If the answers to your questions are not clear,…

Miami, Hollywood, Fort Lauderdale and Boca Raton, Florida False and Misleading Research Report FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that…

Fort Lauderdale, Pompano Beach, Lighthouse Point, Deerfield Beach and Boca Raton, Florida Investment Newsletter Fraud and Misrepresentation Litigation and Arbitration Attorney: Investment newsletters come in many forms. They may be found online or in hard copy; they may be available for a fee or free of charge. Some newsletters address general securities topics, such as…