Articles Posted in General Investment News

Municipal Bond and Municipal Security – Florida FINRA Arbitration and State and Federal Litigation Attorney: A Muni is a popular designation for a municipal security, especially a Municipal Bond. Municipal Bonds are debt obligations of a state or local government entity. The funds received by the entity may support general governmental needs or special projects.…

Leverage Buyout (LOB) – Florida Breach of Contract and Fraud – Commercial and Business State and Federal Court Litigation Attorney: A Leverage Buyout (LOB) is the takeover of a company using leverage. Frequently, the target company’s assets act as security for the loans taken out by the acquiring firm, which repays the loan out of…

Chinese Wall – South Florida Breach of Contract, Breach of Fiduciary Duty, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: A Chinese Wall is an imaginary barrier between investment banking, corporate finance, and research departments of a brokerage firm and the sales and trading department. Because of the fact that the investment banking side, of…

Securities and Exchange Commission – Form 8-K. There are a number of forms that companies are required to file with the Securities and Exchange Commission such as Forms 10-K, 10-Q and 8-K.  Copies of these documents can be found on the SEC’s Edgar Website.  It is suggested, if the reader is contemplating purchasing, holding of selling an SEC reporting company,…

Fixed-Income Abuse, Fraud and Misrepresentation, Florida FINRA Arbitration and Litigation Attorney: A fixed-income investment refers to a security or other type of investment that pays a fixed return. Types of investments that generally fall within this category are government, corporate, or municipal bonds, which pay a fixed rate of interest until maturity, and to preferred…

Types of Investment Risk and the Average Investor – South Florida Investment and Securities Risk FINRA Arbitration and Litigation Attorney: Generally risk can be described as action or inaction that can lead to a loss of some sort. It can be reduced or eliminated based on the action taken by the person that is exposed…

Investment Strategy – Florida Common Stock and Bond FINRA Arbitration and Litigation Attorney: An “Investment Strategy” is nothing more than a plan to allocate assets among various investment classes such as stocks, bonds, cash or cash equivalents, commodities and real estate. An investment strategy should be based on an investor’s outlook on such things as…

Investment Objective, Risk and Suitability: Why are They Important? An investment objective is, in reality, nothing more than a client’s financial objective, which assists a stock broker in determining what type of investments would constitute a “suitable” recommendation for a client. It is one of the fundamental factors that any attorney looks at in attempting…

Securities and Exchange Commission v. Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O., Civil Action No. 1:13-CV-1104 (U.S. District Court for the Northern District of Georgia) Court Enters Preliminary Injunction Against Inter Reef d/b/a Profitable Sunrise and Extends Asset Freeze Order Recently, the Honorable Thomas…

Administrative Proceeding No. 3-15237, Before the Securities and Exchange Commission: The Securities and Exchange Commission recently charged the State of Illinois with securities fraud for misleading municipal bond investors about the state’s approach to funding its pension obligations. An SEC investigation revealed that Illinois failed to inform investors about the impact of problems with its…