Articles Posted in General Investment News

Trading Seminar Fraud: Over the years, it has not been uncommon to see upstart individuals and entities promote the success of their trading strategies, which many times turn out to benefit them as opposed to the investor. This is because some trading seminar promoters may use misleading or untrue statements to lull investors into purchasing…

It is not unusual for a brokerage firm to attempt to raise capital for legitimate business purposes such as expansion of its business or upgrading of its systems. However, not all capital raises are transparent. It is for that reason that we have included this post. Please keep in mind that the information discussed below…

There are a number of factors that clients should take into consideration when dealing with any broker/dealer. However, this post is designed to point out two of these factors that are more important when dealing with a small broker/dealer, usually called an “independent broker/dealer.” Please keep in mind that this post is not designed to…

The purpose of this post is to provide the reader with general information relative to corporate bankruptcy. This post is not designed to be complete in all material respects. It is being provided for general educational information. Thus, it should not be relied upon as providing legal or investment advice. If the reader has any…

South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: Normally, we provide information like this post on our main website. However, because of the contents of this post, we thought that it would constitute interesting reading for seniors, their care givers, personal representatives and trustees. This post reflects the…

Reverse Mortgages – Boon or Boondoggle – South Florida Retirement Abuse and Exploitation Litigation, Arbitration and Probate Estate Attorney: If you are approaching retirement age, and own your home, chances are you have heard about reverse mortgages-or will soon. Reverse mortgages can be helpful to homeowners who want to stay in their homes but are…

Broker/Dealer – Private Placements: As a result of the recent private placement debacle that seems to be discussed daily in the financial press, FINRA has proposed an amendment to its rules, which it believes will enhance investor protection. While the amendment is not the end-all to the problems that have recently been exposed in this…

Oil and Gas Fraud – Targeting Foregin Investors: In our continuing effort to keep foreign investors appraised on investment frauds directed toward them, we are providing you with a copy of a recent Securities and Exchange Commission litigation release concerning an investment that focused on individuals primarily located in Australia, England and Canada. We have…

SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer: Effective October 7, 2011, new consolidated FINRA rules governing your broker/dealer’s and your account executive’s know-your-customer and suitability obligations become effective for the consolidated FINRA rulebook. The new rules are based in part on and replace provisions in the NASD and NYSE rules. These rules are of critical…

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…