Articles Posted in Private Placements / Direct Investments

The purpose of this post is to provide the reader with some tips on how to avoid investment scams. Obviously, this list is not all-inclusive but it should get you to start thinking about what to shy away from with the goal of protecting your hard earned money. Be skeptical of “free lunch” seminars. Even if…

“Pre-IPO” investing involves buying a stake in a company before the company makes its initial public offering of securities. Many companies and stock promoters entice investors by promising an opportunity to make high returns by investing in a start-up enterprise at the ground floor level – often a new company that claims to be related…

Subordination Agreements with Between a Customer and a Brokerage Firm. What are the Risks? When a client thinks of investments and brokerage firms, he or she probably thinks of opening an account and buying stocks, bonds, or mutual funds. When a client enters into a subordination agreement, the client is making an investment, but the…

Securities Fraud Litigation, FINRA and AAA Arbitration Attorney, Russell L. Forkey, Esq. July, 2011: Securities and Exchange Commission v. Joshua Constantin et al., United States District Court for the Southern District of New York, Civ. Action No. 11-CV-4642 (filed July 6, 2011) SEC CHARGES NEW YORK BROKERAGE FIRM AND TWO EXECUTIVES WITH DEFRAUDING INVESTORS IN…

Source: U.S. Bankruptcy court filings, Northern District of Texas, case # 09-33886 Contact Us With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the…

South Florida, including Dade, Broward, Palm Beach and Martin County, Securities and Investment Broker/Dealer, Investment Advisor and Private Fraud, Mismanagement and Misrepresentation Arbitration and Litigation Attorney What Constitutes a Security: What initially comes to most people’s minds when the word security is mentioned is a stock or bond. Yet, from a legal standpoint, the word…