Articles Posted in Investor Alerts

The Securities and Exchange Commission staff recently issued an Investor Alert in response to a number of fraudulent solicitations currently underway that purport to be affiliated with or sponsored by the federal government and legitimate securities regulators. If you are contacted by an organization calling itself the “Chicago Division of Securities,” the “Division of Securities,…

Numismatic Coin – Florida Precious Metals and Numismatic Coin Fraud and Misrepresentation State and Federal Court Litigation Attorney: A Numismatic Coin is a coin that is valued based on its rarity, age, the quantity originally produced, and condition. These coins are bought and sold as individual items within the coin collecting community. Most Numismatic Coins…

Naked Option – Florida Breach of Fiduciary Duty, Negligent Supervision and Mismanagement FINRA Arbitration and Litigation Attorney: A Naked Option is an option for which the buyer or seller has no underlying security position. A writer of a naked Call Option, therefore does not own a Long Position in the stock on which the call…

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 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…