Articles Posted in Securities and Securities Fraud

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…

Investment Scams – South Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: When it comes to making an intelligent investment decision, nothing is fool- proof. However, there are some basic sales tactics that should turn your “red light” on. Some of the most common include: The “Phantom Riches” Tactic: Here the salesperson…

Can you afford early retirement? Should you listen to others to make this determination? These are issues that many of the “baby boomers” constantly deal with. What are some of the things that you should look for to protect yourself? Be Skeptical of Early Retirement Investment Claims: Because the allure of a leisurely retirement can…

“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…

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…

South Florida Elder Abuse and Investment Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: As an investor or as someone contemplating investing, you should be aware that certain types of conduct in the securities industry are prohibited by statute, rules or regulations. The following list highlights some of the most common prohibited…

South Florida Promissory Note Fraud, Misrepresentation, Unregistered Sale of Securities and Unsuitable Investment FINRA Arbitration and Litigation Attorney: A Brief Description of a Promissory Note and How the Scam Works: An investment scam that has been gaining in popularity among fraudsters is the sale of promissory notes, especially to seniors. Unlike many investments today, promissory…

Major Market Indices One of the ways that investors can attempt to determine whether or not their account performance is satisfactory, in light of their investment objectives and risk tolerance, is to compare their monthly results against an index that resembles the makeup of their portfolio. Each of the indices track the performance of a…

Fraudulent Promissory Notes One of the most recent fraud schemes relate to the issuance of promissory notes. A promissory note is a form of debt – similar to a loan or an IOU – that a company (or for that matter an individual) may issue to raise money. Typically, an investor agrees to loan money…