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Video Q&A

Are attorney fees regularly awarded in securities fraud cases?

The American rule of law says that each party is responsible for their own attorney's…

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Are most security fraud claims resolved in trials or another process, like arbitration?

When a potential clients come to me with a problem with their investment portfolio, they…

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Are punitive damages available in securities cases?

Punitive damages are generally available in securities arbitration cases. Arbitrators are allowed to award the…

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Are securities governed by federal or state law?

Securities are governed by both federal and state law and regulated by various different governmental…

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Are there punitive damages available in securities fraud cases?

Punitive damages are intended to punish a wrongdoer for their misconduct. While arbitration is intended…

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Are titles an accurate way to evaluate the knowledge of brokers?

Many stock brokers have various different titles and certifications after their name. However, it's important…

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Can an investor lose money in bonds?

A bond is a loan from either a government or a corporation, in which an…

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Can an investor who has been abused by a brokerage firm sue in court?

Brokerage firms and financial advisers are regulated by FINRA, a quasi governmental agency that oversees…

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Can arbitration rulings be appealed?

FINRA arbitration is intended to be final and binding on all of the parties involved.…

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Can brokerage firms be held responsible for the actions of their brokers or employees?

Generally, a brokerage firm is responsible for the acts of their financial advisors. In fact,…

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Can elder abuse laws apply to securities claims?

Many states have inactive statutes to protect elderly investors from financial and investment fraud cases.…

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