Month: June 2009
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...
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 —...
FINRA Proposes Improving BrokerCheck
FINRA, the financial industry’s self-regulating watchdog, has proposed that the organization’s central database for providing...
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...