Articles Posted in Securities Fraud

The Wall Street Journal published an article by Jason Zweig and Andrea Fuller on August 31, 2020 explaining their analysis of how financial advisers fell short in meeting their obligations to disclose important information to individual investors like you.[1] The Wall Street Journal analyzed the filings made by investment advisers on the SEC Form CRS.…

In Interactive Brokers, LLC v. Saroop, the United States Federal Court of Appeals for the Fourth Circuit made it clear that a broker’s contract that incorporates FINRA rules supports a breach of contract claim when the broker violates FINRA. Further, this case reinforces the public policy of using arbitration to lower costs and create an…

Stock fraud is awful, but it should not surprise you that it happens. There are bad people out there who think nothing of stealing money from anyone they can. Stock fraud, I bet, has been happening since corporations became a thing. Stock fraud may occur when a company defrauds investors when convincing them to buy…

Investing in international assets is a great way to diversify and strengthen your portfolio. A healthy assortment of international security assets can set you up for long term success and aid your investments in weathering market volatility. Investing in internationally-based assets is made possible through the use of American Depositary Receipts (ADRs). An ADR is…

The stock market is a volatile ecosystem at the best of times. Some years, investors lose trillions of dollars. At other times, the majority of investors turn a profit. Part of the confusion is due to the complexity of the stock market. Investing in stocks has always been a specialist’s endeavor, requiring an understanding of…

If you’re an investor, you know that you’re managing risks every day — no matter how you slice it. When it comes to playing the stock market or dealing with other such high-powered investments, you’ll need the assistance of a lawyer that can watch out for your legal interests. Whether you need another set of…

As nearly half of all Americans own no stocks at all, one of the reasons for that is that there are so many complicated laws surrounding their finance. If your stockbroker breaks securities law, you have the right to sue. However, if you don’t know the first thing about the law, you could end up…

You know that the factors affecting an investment’s valuation go behind standard data and metrics. Often, an investment’s value can hinge largely on highly subjective factors, like public perception. The “reputation” of an asset or security can either signal an attractive investment opportunity or drive away investors. You’ve probably heard of pump and dump schemes;…

Regardless of your investing experience, nobody knows everything there is to know about stock and securities trading. That’s why you have probably enlisted the help of an investment professional, either as a sounding-board for investment decisions or to assist you in facilitating and completing transactions. An investment advisor or a broker-dealer can be a great…

When you hire a stockbroker, you’re trusting them with your investment future. So when you suspect that your broker is scamming your account, you want to deal with the problem as soon as possible. There are a number of ways to help recover your losses after securities fraud, but first, you need to know what…