To those familiar with the shenanigans we deal with on a daily basis in the financial industry, it comes as no surprise and as a refreshing breeze to read Senators Warren and Cotton’s letter to the Chairman and CEO of FINRA, Richard Ketchum. It is an open secret that many stock brokers and brokerage firms…
Continue reading ›When you have a stockbroker handle your investments, you expect that this person won’t violate legal and ethical standards. But sadly, this isn’t always the case, and below are several reasons you may need to hire a stock fraud attorney. Misrepresentation or Omissions In order to know when to buy or sell an investment, clients…
Continue reading ›If you have been the victim of broker misconduct, you may be wondering if you need a stock fraud lawyer. Here are just a few things that indicate that you need to obtain the services of an experienced stock fraud lawyer: Your broker was involved in bond fraud & misconduct. If your broker did not…
Continue reading ›If you’ve been the victim of stock fraud, you will definitely need the services of an experienced stock fraud attorney who will handle your case. But, you may be wondering, what will a stock fraud attorney do for you? In an attempt to make this process go a little bit easier for you — even…
Continue reading ›Florida stock broker fraud attorney s well understand the underpinnings of the 2012 case of the U.S. Securities and Exchange Commission(SEC) versus First Resource Group, LLC, in which company principal David H. Stern was “charged with 3 counts of fraud.” The crime of fraud, in general, consists of deliberate misrepresentations–or omissions–of facts in order to…
Continue reading ›A Florida stock fraud lawyer is adept at aiding victims of what the U.S. Securities and Exchange Commission (SEC) calls–in its investor alert bulletins–“fraudulent stock promotions.” The SEC’s Office of Education and Advocacy recently issued a warning about “fraudsters who promote a stock to drive up the price, and then sell their own shares at…
Continue reading ›Even the most careful and diligent investors can get stuck in an investment fraud scheme without an investment fraud attorney. Florida residents who have been victimized by an investment fraud scheme (i.e., a Ponzi scheme, stock portfolio loss, negligence on the part of your stockbroker or financial adviser) will need a Florida investment fraud attorney,…
Continue reading ›Most people rely on a financial planner for advice on how to invest their savings. They place their trust and their future in the hands of people they believe are experts. It’s assumed that the financial planner will look at the age, income, savings amount, financial needs, and individual goals of their client to determine…
Continue reading ›For many retirees, the idea of spending their leisure years in Florida is a goal for which they have striven for many years. According to U.S. News & World Report’s analysis of 2010 U.S. Census Bureau data, the “Sunshine State” has the greatest proportion of people who are at least 65 (17.3%). And that doesn’t…
Continue reading ›Some people in Florida and other states try to scam others out of their money instead of making an honest income. Two tricks these con artists use are called Ponzi and pyramid schemes. Knowing how these methods of deception work can help you protect your money, but a Florida investment fraud attorney could help if…
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