Securities Fraud
Category

June 16, 2009

Important Things to Know about B Share Mutual Funds

There has been quite a bit of controversy surrounding Class B share mutual funds in

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June 14, 2009

Brokerage Firms in Boca Raton, Florida

The following is a list of some of the securities brokerage firms or broker dealers

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June 14, 2009

Investors duped by fraud may be able to get tax...

As reported in the Sun Sentinel, and according to tax attorney Richard S. Lehman,

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June 13, 2009

FINRA Proposes Improving BrokerCheck

FINRA, the financial industry’s self-regulating watchdog, has proposed that the

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June 10, 2009

Was an L-Share annuity purchase appropriate for you?

Typically, with an L-Share annuity, you will pay a higher mortality, expense and

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June 8, 2009

New Legislation That Will Impact Securities Fraud Enforcement

President Obama legislation improving enforcement of securities fraud and financial

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June 7, 2009

Oppenheimer Funds 529 Plans Under Fire

Oppenheimer Funds’ 529 Plans are facing complaints amid allegations of

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June 3, 2009

Top 10 Myths regarding Ponzi Schemes

Myth 1- Ponzi schemes are pyramid-type frauds that involve “robbing Peter to

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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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