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Month: June 2009

Blog, Securities Fraud Articles

How to Stop a Broker from Cold-calling?

Stop the Cold Calling High-pressure sales calls (sometimes referred to as cold-calling) have been occurring in the securities industry for...

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Blog, Securities Fraud Articles

Important Things to Know about B Share Mutual Funds

There has been quite a bit of controversy surrounding Class B share mutual funds in the last few years. The NASD and SEC are taking a very...

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Blog, Securities Fraud Articles

Investors duped by fraud may be able to get tax relief

As reported in the Sun Sentinel, and according to tax attorney Richard S. Lehman, investors duped by fraud can get some tax relief —...

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Blog, Securities Fraud Articles

FINRA Proposes Improving BrokerCheck

FINRA, the financial industry’s self-regulating watchdog, has proposed that the organization’s central database for providing...

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Blog, Securities Fraud Articles

New Legislation That Will Impact Securities Fraud Enforcement

President Obama legislation improving enforcement of securities fraud and financial institution fraud involving asset-backed securities and...

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