Articles Posted in State Litigation

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…

FAQ’s Warrants – Miami, Hollywood, Fort Lauderdale, Deerfield Beach, Lighthouse Point and Boca Raton, Florida FINRA Arbitration and Litigation Attorney: A warrant is a type of security, usually issued in conjunction with common or preferred stock, that entitles the holder to buy a proportionate amount of common stock at a specified price, usually higher than…

Face Value of Bonds, Notes and Other Types of Securities – South Florida FINRA Arbitration and Litigation Attorney: When using the term “Face Value” in referring to a security, it means the value as given on the certificate or instrument. For example, corporate bonds are usually issued with $1,000 face values, municipal bonds with $5,000…

Offer and sale of securities sold in violation of the registration provisions of Section 5 of the Securities Act of 1933 – South Florida Unregistered Sale of Securities Litigation and Arbitration Attorney: Securities and Exchange Commission v. Dawn Wright-Olivares and Daniel Olivares, Civil Action No. 3:13-CV-700 SEC Charges Woman and Stepson for Involvment in Zeekrewards…

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…

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…

South Florida Variable and Fixed Annuity Fraud, Misrepresentation, Breach of Fiduciary Duty and Twisting FINRA Arbitration and Litigation Attorney: We recently were presented with the following factual situation. A single 82 year old, long retired woman received a “cold call” from a mortgage broker, who, after repeated telephone calls and visits to the woman’s home,…

South Florida Elder and Senior Financial Abuse and Breach of Fiduciary Duty Litigation FINRA Arbitration and Litigation Attorney: The North American Securities Administrators Association, Inc. (NASAA) has issued a post that sets forth 10 general tips to help you protect your nest egg. I have modified this list somewhat based upon issues that I have…

South Florida Life Settlement Fraud, Misrepresentation, Breach of Contract and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: This post contains important information that should be considered and questions that should be asked by anyone contemplating entering into a life settlement transaction What is a life settlement? In a “life settlement” transaction, a life…