Articles Posted in Investment Terms and Concepts

Boca Raton, Fort Lauderdate, and West Palm Beach, Florida Preferred and Common Stock Corporate and Business Attorney: FAQ’s Preferred Stocks: When a corporation is created, the incorporators are required to issue common stock as holders of the common stock own the company and by executing their voting rights control the company through their election of…

Boca Raton, Florida Oil and Gas Private Offering Litigation and Arbitration Attorney: What could possibly go wrong with an oil and as private offering? The oil and gas industry is often in the news. Because of this, some people have used the appeal of “striking it rich” with a gushing well as a basis for…

Miami, Fort Lauderdale, Boca Raton and West Palm Beach Florida Investment Fraud and Misrepresentation FINRA Arbitration, AAA Arbitration, JAMS Arbitration, State and Federal Court Litigation Attorney, Russell L. Forkey, Esq. Who may be classified as a “Broker”. Section 3(a)(4)(A) of the Securities and Exchange Act of 1934 (the “Act”) generally defines a “broker” broadly as…

Private Placement – Private Offering – Boca Raton, Florida Investment Fraud and Misrepresentation Attorney: What is a private placement? A securities offering exempt from registration with the Securities and Exchange Commission (the “SEC”) is sometimes referred to as a private placement. Under the federal securities laws, a company or private fund may not offer or…

Are You an Accredited Investor – Private Investment and Private Placement Boca Raton, Florida Fraud, Misrepresentation and Mismanagement Litigation Attorney: Accredited Investors: Under the Securities Act of 1933, a company that offers or sells its securities must register the securities with the SEC or find an exemption from the registration requirements. The Act provides companies…

Rebalancing Your Asset Allocation Model – South Florida Investment Mismanagement FINRA Arbitration and Litigation Attorney: Rebalancing: Rebalancing is bringing your portfolio back to your original asset allocation mix. This is necessary because over time some of your investments may become out of alignment with your investment goals. You’ll find that some of your investments will…

South Florida, including Boca Raton, Deerfield Beach and Delray Beach Asset Allocation and Diversification Mismanagement Attorney: A diversified portfolio should be diversified at two levels: between asset categories and within asset categories. So in addition to allocating your investments among stocks, bonds, cash equivalents, and possibly other asset categories, you’ll also need to spread out…

South Florida, including Fort Lauderdale, Davie, Dania, Hollywood and Pompano Beach – Asset Allocation Investment Attorney Asset Allocation – Why It Is So Important: By including asset categories with investment returns that move up and down under different market conditions within a portfolio, an investor can protect against significant losses. Historically, the returns of the…

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…