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February 13, 2012
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Blog, Securities Fraud
According to a recent study, it appears that many financial professionals “tend to overstate their qualifications and services.” The investmentnews.com recently reported on the study done by Cerulli Associates Inc. in which they studied the responses of upwards of 1,500 “financial intermediaries.” A Cerulli
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September 22, 2011
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Blog, Securities Fraud
As an advocate for investors we are constantly looking for ways to get information out to the investing public about securities fraud practices and how investors can protect themselves. We have produced this “Top 10” video that gives some information about the types of securities fraud practices we see
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September 21, 2011
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Blog, Securities Fraud
As an advocate for investors we are constantly looking for ways to get information out to the investing public about securities fraud practices and how investors can protect themselves. The following is a video about over-concentration of investments from our securities fraud practices informational series. If you are
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September 21, 2011
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Blog, Securities Fraud
As an advocate for investors we are constantly looking for ways to get information out to the investing public about securities fraud practices and how investors can protect themselves. The following is a video about the risks of investing on margin from our securities fraud practices informational series. If you are
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September 21, 2011
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Blog, Securities Fraud
Informational video on Churning fraud (excessive trading) Churning fraud is defined as an unethical practice employed by some financial advisors to increase their commissions by excessively trading in a client’s account. This practice violates various FINRA Rules and is often referred to as “churn and burn”,
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August 16, 2010
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Blog, Securities Fraud
FINRA recently announced that Robert Norman Gest, a financial advisor in Lighthouse Point, Florida, has been suspended from association with any FINRA member in any capacity for 18 months. Without admitting or denying the allegations, Gest consented to the described sanctions and to the entry of findings that he
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