Articles Posted in Investor Alerts

The Statute of Limitations is a shield that respondents, in arbitration, and defendants, in judicial proceedings, use to protect themselves even if they know that through their action or inaction they have harmed the investing public. Luckily, the Second District Court of Appeals, in the State of Florida, has recently issued an opinion, which, for…

In bad economic times, especially if you are having problems making your mortgage payments, there are things that you can do to try and legitimately help yourself out of your problems. However, one of them is not to pay upfront fees to try and refinance your mortgage or other large debts. Legitimate lenders don’t usually…

FINRA rules require that account executives observe high standards of commercial honor and just and equitable principles of trade in dealing with you, the customer. FINRA rules also prohibit any manipulative, deceptive, or fraudulent actions (NASD Rules 2110 and 2120). However, sometimes an investor will run into an unscrupulous account executive who will lie, cheat…

South Florida Senior, Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney: Should you risk your home to invest in stocks, bonds, mutual funds or other investments? In our opinion, the answer is no. Over the years, in our representing investors, those individuals that have been impacted the most by…

Stock-Based Loan Programs: What Investors Need to Know: Investors who need cash-or who want to tap the value of their investment portfolios without selling their investments-might be tempted to apply for a “stock-based loan,” pledging fully paid securities as collateral for the loan. As recent FINRA enforcement actions confirm, stock-based loan programs can be risky,…

South Florida Senior, Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority (FINRA) is a self-regulatory authority responsible for overseeing the practices of securities broker dealers. For several years, FINRA has focused on firms’ fair dealings with senior investors, as well as investors at or approaching retirement…

There are a number of methods utilized to enter a stock order. What are they? People contemplating investing in the stock market need to understand that there are different types of orders they can use to buy and sell stocks through a brokerage firm. This post contains general general descriptions of some of the common…

Each state as its own statute of limitations that relate to claims of investment losses, relating to claims for fraud and deceit, negligent misrepresentations, negligence, breach of contract, breach of fiduciary duty and negligent supervision. For example, in Florida the statute of limitations is contained in Chapter 95 of the Florida Statute. Generally, actions on…

Investors Thinking About Trading Foreign Currency Contracts Consider the Following: The advertisements seem too good to pass up. They tout high returns coupled with low risks from investments in foreign currency (forex) contracts. Sometimes they even offer lucrative employment opportunities in forex trading. Do these deals sound too good to be true? Unfortunately, they are,…

Stop Loss Orders – Good or Bad Idea? – Boca Raton, Florida FINRA Arbitration and Securities Litigation Attorney We have discussed on or website what a stop loss order is and what are some of the risks associated with its use. The purposed of this post is to give you some food for thought concerning…