Articles Posted in Unsuitable Investment Recommendations

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…

Elder and Senior Investor Alert: Free Meal Seminars – Broker/Dealer Fraud, Mismanagement and Negligent Supervision Florida FINRA Arbitration and Litigation Attorney Free Lunch Seminars, Misleading Professional “Senior Specialist” Designations and Abuse Sales Practices: State securities regulators warn senior investors to be aware that a combination of “free lunch” seminars, misleading professional “senior specialist” designations, and…