Investment Terms and Concepts

Do CFPs Have to Register as an Investment Adviser in Florida – Delary, Deerfield Beach, Boca Raton and Boynton Beach, Florida FINRA Arbitration, Litigation and Elder Abuse Attorney

Published on: August 1, 2014 | By Russell L. Forkey, P.A.

Do CFPs have to register as an Investment Adviser in Florida – Delray, Boynton Beach, Lantana, Boca Raton and West Palm Beach FINRA Arbitration, Litigation and Elder Abuse Attorney:

Any person who for compensation refers, solicits, offers, or negotiates for the purchase or sale of investment advisory services is required to be registered in Florida, regardless of their professional designation as a Investment Adviser and/or Associated Person of a broker/dealer.

Please keep in mind that this information is being provided for informational purposes only. It is not designed to be complete in all material respects. Thus, it should not be relied upon as legal or investment advise. If the reader has any questions relating to this post, you should contact a qualified professional.

Florida’s Requlation D and Rule 506 Offering Requirements – Boca Raton, West Palm Beach and Fort Lauderdale, Florida Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: August 1, 2014 | By Russell L. Forkey, P.A.

Florida’s Regulation D and Rule 506 Offering Requirements – Boca Raton, Fort Lauderdale and West Palm Beach, Florida Securities Fraud and Misrepresentation FINRA Arbitration, Litigation and Elder Abuse Attorney:

What are Florida’s Regulation D and Rule 506 Offering requirements?

Regulation D and Rule 504 Public Offerings:

FAQ’s Relating to a Brokerage Account Transfer – Boca Raton, Florida Broker/Dealer FINRA Arbitration and Litigation Attorney

Published on: July 5, 2014 | By Russell L. Forkey, P.A.

Fort Lauderdale, Boca Raton and West Palm Beach, Florida Broker/Dealer FINRA Arbitration and Litigation Attorney:

FAQ’s You Should Consider Asking Before You Initiate Your Account Transfer:

Discussing the transfer process with your new firm is the best way to become familiar with the account transfer process. If the answers to your questions are not clear, ask the new firm for a written response. You should ask questions, such as:

Investment Newsletters – South Florida Investment Newsletter Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney

Published on: June 11, 2014 | By Russell L. Forkey, P.A.

Fort Lauderdale, Pompano Beach, Lighthouse Point, Deerfield Beach and Boca Raton, Florida Investment Newsletter Fraud and Misrepresentation Litigation and Arbitration Attorney:

Investment newsletters come in many forms. They may be found online or in hard copy; they may be available for a fee or free of charge. Some newsletters address general securities topics, such as which types of stocks, bonds, or funds might make good investments. Others may provide commentary and analysis about particular companies, investment products, or financial trends.

While many investment newsletters are legitimate, some are used to carry out schemes designed to deceive investors. Such schemes can include:

FAQs Equity Indexed Annuities – Boca Raton, Florida Annuity Twisting and Fraud FINRA Arbitration and Litigation Attorney

Published on: June 11, 2014 | By Russell L. Forkey, P.A.

Equity Indexed Annuities – Boca Raton, Deerfield Beach, Lighthouse Point, Delray Beach and West Palm Beach, Florida Annuity Twisting and Fraud FINRA Arbitration and Litigation Attorney:

An equity indexed annuity is a fixed annuity, either immediate or deferred, that earns interest or provides benefits that are linked to an external equity reference or an equity index. The value of the index might be tied to a stock or other equity index. One of the most commonly used indices is the Standard & Poors 500 Composite Stock Price Index, which is an equity index. The value of any index varies from day to day and is not predictable. When you buy an equity indexed annuity you own an insurance contract. You are not buying shares of any stock index.

Please keep in mind that the above information is being provided for educational purposes only. It is not designed to be complete in all material respects. Thus, it should not be relied upon as providing legal or investment advice. If you have any questions concerning the contents of this post, you should contract a qualified professional.

Deferred Annuity FAQ’s For The Agent Or Company – Boca Raton, Fort Lauderdale and West Palm Beach Annuity Fraud and Abuse FINRA Arbitration and Litigation Attorney

Published on: June 8, 2014 | By Russell L. Forkey, P.A.

FAQ’s that should be asked to your insurance agent, account executive or company prior to considering the purchase, exchange or sale of a deferred annuity.

There are a series of basic questions that you should ask your agent or company when considering deferred annuities. This list is not designed to be complete in all material respects. It is being provided as a general guide. Thus, it should not be relied upon as legal or investment advice.

Is this a single premium or multiple premium contract?

FAQs Annuity – South Florida Elder, Senior and Retirement Financial Abuse FINRA Arbitration and Litigation Attorney

Published on: May 23, 2014 | By Russell L. Forkey, P.A.

Boca Raton, Delray Beach, Lantana, Lake Worth, West Palm Beach and Jupiter, Palm City and Stuart Florida Senior, Elder and Retirement Financial Abuse and Probate FINRA Arbitration and Litigation Attorney:

FAQs – Annuity:

An annuity is a contract in which an insurance company makes a series of income payments at regular intervals in return for a premium or premiums you have paid. Annuities are most often bought for future retirement income. Only an annuity can pay an income stream that can be guaranteed to last as long as you live.

Stop Orders – Boca Raton, Florida Unregistered Sales of Securities Fraud and Misrepresentation Attorney

Published on: April 24, 2014 | By Russell L. Forkey, P.A.

Boca Raton, Florida Unregistered Sales of Security Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney:

SEC Issues Stop Order to Prevent Northern California Company From Issuing Stock Under Amended Registration Statement

The Securities and Exchange Commission recently issued a stop order to prevent a Northern California-based company from issuing stock after including false and misleading information in its amended registration statement for an initial public offering (IPO).

Stop Limit Order – Special Order and/or Trading Instruction – South Florida Broker/Dealer, Investment Advisor, Account Executive Breach of Fiduciary Duty, Breach of Contract, Mismanagement, Negligence and Negligent Supervision FINRA Arbitration Attorney

Published on: April 20, 2014 | By Russell L. Forkey, P.A.

Special Orders and Trading Instructions – South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Breach of Contract, Mismanagement, Negligence and Negligent Supervision FINRA Arbitration and Litigation Attorney:

Special Orders and Trading Instructions:

In addition to market and limit orders, brokerage firms may allow investors to use special orders and trading instructions to buy and sell stocks. One common special order and trading instruction is the “stop-limit order.”

Stop Order – Special Order and/or Trading Instruction – South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Breach of Contract, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney

Published on: April 20, 2014 | By Russell L. Forkey, P.A.

Special Orders and Trading Instructions – South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Breach of Contract, Mismanagement, Negligence and Negligent Supervision FINRA Arbitration and Litigation Attorney:

Special Orders and Trading Instructions:

In addition to market and limit orders, brokerage firms may allow investors to use special orders and trading instructions to buy and sell stocks. One of the most common special orders and trading instructions is the “stop order.”