Securities Fraud
Category

June 3, 2009

Fraud alert: Investment complaints rising

As reported by Richard Burnett of the Orlando Sentinel, investment fraud is rising

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June 1, 2009

New Investor Asset Custody Rules Proposed

The SEC approved the issuance of new rules to stregthen the investment advisor

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May 29, 2009

Activity Letter from my Brokerage Firm

Why did my Brokerage Firm send me this letter? If you have ever received a letter

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May 27, 2009

List of Law Directories

Here is a list of law specific directories we have submitted our firm’s

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May 27, 2009

Recent Changes to the FINRA Code of Arbitration

The Securities and Exchange Commission (SEC) has recently approved several

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customer complaints May 26, 2009

Customer Complaints on the Rise?

With branch offices increasing, will customer complaints be on the rise? Despite the

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May 26, 2009

Financial Fraud Often Aimed at Seniors

According to Jennifer Levitz’s May 19, 2009 article in the Wall Street Journal,

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May 25, 2009

Investor Tools

Whether or not you knew it at the time you established your brokerage account,

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May 21, 2009

8th Circuit Addresses Scope of Fiduciary Duty

A panel of the 8th Circuit Court of Appeals addressed the scope of the fiduciary

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May 21, 2009

SEC Charges Madoff Auditors

The SEC charged the auditors of Bernard Madoff’s broker-dealer firm with

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