Articles Posted in Investment Terms and Concepts

Limit Order – South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Negligence, Breach of Contract, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney: Limit Order: A limit order is an order to buy or sell a stock at a specific price or better. The specified price can be different from…

South Florida Broker/Dealer, Investment Advisor and Account Executive Mismanagement, Breach of Fiduciary Duty, Negligence and Negligent Supervision FINRA Arbitration and Litigation Attorney: Market Order: A market order is the most frequently placed type of order. A market order is an order to buy or sell a stock at the best available price. Generally, this type…

Corporate and Corporate High Yield Bond Breach of Fiduciary, Unsuitability, Churining and Unauthorized Purchase and Sale FINRA Arbitration, Litigation and Probate Attorney: If you are considering or if your account executive or investment advisor is soliciting you to purchase, hold or sell a corporate bond, you may wish to read this post to refresh your…

Exchange-Traded Funds (ETFs) – Florida Elder, Senior and Retirement Financial Abuse and Exploitation Unsuitability, Excessive Trading (Churning), Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration, Litigation and Probate Estate Attorney: Exchange-Traded Funds (ETFs): The solicitation of ETFs by brokerage firms and their account executives seeking to convince their clients to purchase and sell EFTs…

Oil and Gas Limited Partnerships and Oil and Gas Offering Fraud, Misrepresentation and Mismanagement – South Florida, including Fort Lauderdale, Pompano Beach, Deerfiled Beach, Boca Raton, Boynton Beach, Delray Beach, Lake Worth and West Palm Beach, Litigation and Arbitration Attorney An oil and gas limited partnership is legally set up using the same format as…

Nonpublic Information Florida Securities and Investment Fraud, Misrepresentation and Omission FINRA Arbitration and Litigation Attorney: Nonpublic information is information about a company, either positive or negative, that will have a material effect on the stock or bond price when it is released to the public. Insiders, such as corporate officers, members of the board of…

Illegal Short Selling – Florida Illegal Short Selling, Securities and Investment Fraud Litigation and Arbitration Attorney: Securities and Exchange Commission v. Revelation Capital Management Ltd. and Christopher P.C. Kuchanny, Civil Action No. 14-cv-0645 (S.D.N.Y., filed January 31, 2014) SEC Charges Bermudian Investment Adviser and Principal for Illegal Short Selling On January 31, 2013, the Securities…

Support Level or Resistance Level – South Florida, including West Palm Beach, Lake Worth, Delray Beach, Royal Palm Beach and Boynton Beach, Securities and Investment Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: A support level is a price level at which a security tends to stop falling because there is more…

Cash Management, Active Asset, Asset Management or Wrap Accounts – Hollywood, Fort Lauderdale, Margate, Davie, Pompano Beach, Boca Raton and Royal Palm Beach, Florida FINRA Arbitration and Litigation Attorney: Cash Management, Active Asset, Asset Management or Wrap Accounts describe accounts at brokerage firms, banks or savings institutions that combine banking services like check writing, credit…

Unsuitable and Inappropriate Mutual Fund Switching – Stuart, Hope Sound, Jupiter, West Palm Beach, Lantana, Delray Beach, Lake Worth and Boca Raton, Florida FINRA Arbitration, Mediation and Litigation Attorney: Mutual Fund Switching: Mutual fund switching is the moving of assets from one mutual fund to another, either within the same fund family or between different…