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June 29, 2009
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Blog, Securities Fraud
Recently, the NASD and NYSE merged their regulatory bodies to form the Financial Industry Regulatory Authority (or FINRA). In so doing, the NASD Arbitration Rules were reformatted and replaced by the new FINRA Rules. These rules apply to securities arbitration cases (including securities fraud customer cases)
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June 28, 2009
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Blog, Securities Fraud
If you would like to be notified when we provide new updates to the Securities Fraud blog you can follow us on Twitter at www.twitter.com. Our twitter profile name is CarterPA.
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June 23, 2009
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Blog, Securities Fraud
Reverse convertibles are short-term bonds that pay high yields and are coupled to well known stocks. The bonds generally have terms of three months to one year and promise to repay the investor their principal plus exceedingly high interest rates (generally between 6% and 13%) unless the price of the underlying stock
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June 19, 2009
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Blog, Securities Fraud
Whether a financial advisor has a fiduciary duty to the investor has always been a hot buttom point of contention in many securities litigation cases. The broker-dealers have always tried to take the position that the broker does not owe a fiduciary duty to the client, whereas the investor almost always testifies that
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June 19, 2009
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Blog, Securities Fraud
One increasingly common type of securities fraud is the so-called “Microcap stock fraud.” The microcap stock fraud is a form of securities fraud involving stocks of “microcap” companies, generally defined in the United States as those with a market capitalization of under $250 million. Its prevalence
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June 18, 2009
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Blog, Securities Fraud
While many people believe that they have been the victim of a securities fraud, the lawyer’s challenge is proving that claim to an arbitration panel by establishing the necessary elements of a recognized cause of action. One cause of action used in many securities fraud cases is a claim for fraud/misrepresentation
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June 18, 2009
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Blog, Securities Fraud
As established by the Washington State Department of Financial Institutions, the following are 10 of the most common types of investment scams and how to protect yourself. Ponzi Schemes In this scheme investors are told a cover story about how the business will earn money to allow it to pay high returns to its
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June 16, 2009
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Blog, Securities Fraud
Stop the Cold Calling High-pressure sales calls (sometimes referred to as cold-calling) have been occurring in the securities industry for years. These calls occur when an investor receives unsolicited or unwanted phone calls-using high-pressure, persistent tactics-soliciting the purchase of securities. This is most
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June 16, 2009
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Blog, Securities Fraud
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 close look at advisors that do a lot of B share business; attempting to determine whether or not the B share investment recommendation(s) are in the best interest …
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June 14, 2009
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Blog, Securities Fraud
The following is a list of some of the securities brokerage firms or broker dealers registered with FINRA that are located in Boca Raton, Florida. Charter Capital 2600 N Military Trail Boca Raton, FL 33431 (561) 995-7607 Fidelity Investments 4400 N Federal Highway Boca Raton, FL 33431 (561) 393-8733 Investments By
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