Month: June 2009
Rule Conversion Chart for NASD to FINRA Rules
Recently, the NASD and NYSE merged their regulatory bodies to form the Financial Industry Regulatory Authority (or FINRA). In so doing, the...
What a reverse convertible investment right for me?
Reverse convertibles are short-term bonds that pay high yields and are coupled to well known stocks. The bonds generally have terms of...
Does a Financial Advisor owe the Client a Fiduciary Duty?
Whether a financial advisor has a fiduciary duty to the investor has always been a hot buttom point of contention in many securities...
Why is my broker pushing penny stocks?
One increasingly common type of securities fraud is the so-called “Microcap stock fraud.” The microcap stock fraud is a form of...
Establishing a Misrepresentation Claim
While many people believe that they have been the victim of a securities fraud, the lawyer’s challenge is proving that claim to an...
Top 10 Investment Scams
As established by the Washington State Department of Financial Institutions, the following are 10 of the most common types of investment...
