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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 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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Can I recover money lost due to investment fraud?

The simple answer is yes. Anybody who loses money due to the malfeasance or negligence…

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Do I have to pay costs to bring a claim for arbitration?

Arbitration is intended to be less expensive than a traditional court case. In most circumstances,…

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Do securities lawyers work with other attorneys?

I work with other lawyers all the time. I'm frequently sought out by other lawyers…

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Does Florida Statute 517.301 allow me to recover my attorney’s fees?

Florida Statute 517 is the Florida Securities Investor Protection Statute, and it is intended to…

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Does Silver Law Group pay referral fees as allowed by Florida Bar rules?

We're very proud that many of lawyers in the community frequently seek our services for…

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How are securities fraud attorneys paid?

I'm generally paid if I'm successful in recovering money for you. That means that I…

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How are you as my FINRA arbitration lawyer paid?

If we agree to represent you in either a FINRA arbitration claim or in court,…

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How can a lawyer help an investor recoup my money?

A lawyer could help an investor recoup their money through several different ways. First of…

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If I lose my arbitration hearing how can a lawyer help me challenge it?

Arbitration is intended to be final and binding on all of the parties involved. There…

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What do I do if I am a victim of financial fraud?

If you've been a victim of financial fraud, you should contact Experience Securities Council. Who…

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What is the story behind “Sheep of Wallstreet”?

In the mid-90s, I worked for a law firm that defended many of the alleged…

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What legal recourse do I have if I am invested in a Ponzi scheme that has been exposed?

If you've been the victim of a Ponzi scheme, it's important to seek out legal…

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What legal recourse do I have if I feel I have been ripped off by someone trying to sell me gold or silver?

We represented many investors who have been frauded in precious metals scams. One of the…

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When does the statute of limitations toll in a securities fraud claim?

The statute of limitations on securities fraud claim is dependent upon the types of causes…

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Where will the arbitration take place?

A securities arbitration is governed by the FINRA Code of Arbitration, which requires that the…

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Who is Scott Silver?

My name is Scott Silver, and I'm the managing partner of Silver Law Group. I'm…

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Ponzi Schemes, Frauds and Selling Away

How is churning measured?

Churning generally refers to a financial advisor who does trades in a customer's account in…

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My broker bought or sold something without talking to me first. Is that allowed?

Brokers are generally not allowed to make a trade in a customer's account without first…

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My broker says he has a system that will outperform the market that involves lots of trading. Should I be concerned?

Generally speaking, promises of high returns or high activity or turnover in an account are…

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My broker sold me a product and it does not show up on my statement. Is that acceptable?

If an investment doesn't show up in your monthly statement, it certainly raises a red…

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Should I avoid free lunch seminars offered by financial planners?

I actually get this question a lot from my clients. It's tough for me to…

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Should I be wary of cold calls from people trying to sell me securities or commodities?

Cold calling has been around on Wall Street for decades. While I can't tell you…

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The commodities broker says I will have guaranteed profits? Is this legitimate?

Any investor who is being guaranteed profits needs to question how it is that the…

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What are the most important parts of account opening documents?

When a stockbroker opens a new account, he must get certain basic information from the…

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What investments scams should I look out for?

It's always difficult to know what the future holds. Wall Street has always done better…

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What is a brokerage firm pump and dump scheme?

A pump-and-dump scheme is when a brokerage firm takes a house stock or a stock…

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What is a Ponzi scheme?

A Ponzi scheme is a type of securities fraud in which a financial adviser or…

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What is affinity fraud?

Affinity fraud is a particularly nefarious type of fraud when the con artist earns his…

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What is selling away?

Selling away is a defense frequently used by brokerage firms when a financial advisor sells…

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Stockbroker Misconduct

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 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 I move my investments while my securities case is pending?

The decision as to whether or not to move your account from your current financial…

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Does a high level of trading create a cause of action against the broker?

A high level of trading in a customer account frequently serves as a red flag…

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Does a stockbroker owe a different standard of care than other financial advisors?

There are various kinds of financial advisors in this country. The 2 most well known…

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How can I investigate the background of a broker?

To investigate the background of your broker there are several different resources you could check.…

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How can investors determine if their account has been churned?

An investor can determine if his account has been churned by a variety of different…

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It seems like I have been sold a big portion of one product or investment. Could that be a problem?

Yes. This generally refers to over-concentration and might be unsuitable in and of itself. While…

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My broker is saying I should buy on margin. What does that mean?

Margin generally refers to when a brokerage firm lends you money to buy additional securities.…

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What are Long Island boiler rooms?

Over the years, many small brokerage firms had been opened up on Long Island and…

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What are some typical FINRA sales practice violations?

There's no question that Wall Street is a financially incentivized business. We see many different…

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What does suitability mean in a securities arbitration case?

The suitability rule is the foundation upon which the security's industry rules and regulations are…

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What is a brokerage firm's duty to supervise?

Wall Street is heavily regulated and all brokerage firms are required to have in place…

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What is a specific example of suitability?

Wall Street is generally guided by the underlying principle that all investments must be suitable…

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What is negligence?

A financial adviser has a duty to only make suitable recommendations to his clients. In…

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What is the difference between a misrepresentation and an omission?

A misrepresentation and an omissions are two sides of the same coin. A misrepresentation is…

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What is the stockbroker's duty with respect of making suitable recommendations to a customer?

The securities industry is generally governed by what's called a suitable standard that a broker…

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What should I do if my stock broker is accused of misconduct?

If your financial adviser is accused of misconduct, it's important to seek out legal counsel…

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What should I look for when hiring a broker?

When hiring a new financial advisor, a client needs to think about what they are…

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What tactics are considered manipulative, deceptive, or fraudulent?

The securities markets are established on a foundation of full and fair disclosure to the…

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Securities Arbitration

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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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 FINRA arbitration rulings be appealed?

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

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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 I be awarded attorney’s fees in FINRA arbitration?

Under the American rule of law, attorney's fees are generally only available if there is…

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Do cases settle before arbitration?

Statistically speaking, many cases do settle before the final hearing in the case. Many cases…

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Do securities cases settle prior to arbitration?

Many security arbitration cases settle before the final hearing. We have been able to resolve…

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Does a defrauded investor have a right to file a lawsuit?

A defrauded investor has a right to pursue a claim against both the issuer of…

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Does FINRA arbitration allow for multiple claimants in one case?

Over the years, we have been retained by victims of a particular investment advisor or…

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How are FINRA final hearings conducted?

FINRA final hearings are the functional equivalent to the investors day in court. This is…

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How can an attorney help me in securities arbitration?

One of my favorite sayings about lawyers is that you want two of them. One…

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How common is FINRA arbitration?

Although every customer who opens up a brokerage account agrees to submit any dispute to…

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How do I begin a FINRA arbitration claim?

The FINRA arbitration claim is governed by the FINRA code of arbitration, which lays out…

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How does the FINRA arbitration process work?

FINRA is intended to be a faster, more expeditious process than pursuing a claim in…

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How long is the securities arbitration process?

A securities arbitration is generally meant to be faster and more expeditious than court. From…

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What are punitive damages?

Punitive damages are the type of damages that are available in a case to punish…

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What can I expect at an arbitration hearing?

The arbitration is generally intended to serve as the equivalent to your day in court.…

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What do I need to know prior to arbitration?

You need to know that you have the faith and confidence in your counsel to…

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What does suitability mean, in reference to FINRA?

Wall Street has lobbied hard over the years to avoid being regulated by a fiduciary…

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What is and how does alternative dispute resolution work?

Alternative dispute resolution is intended to serve as an alternative to filing a lawsuit. Many…

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What is arbitration?

Arbitration is an agreement between two parties to try and resolve any disputes between them…

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What is FINRA arbitration?

FINRA, the Financial Industry Regulatory Authority, is a quasi-government agency which regulates the brokerage industry.…

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What is mediation?

Mediation is a fancy term for a settlement conference. It's when the parties through a…

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What is the FINRA arbitration discovery process?

Arbitration is generally expected to be faster and more expedious than a court case. The…

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What is the statute of limitations on bringing a securities fraud claim?

That statutes of limitations on bringing a securities fraud claim varies depending upon the causes…

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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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Investment Fraud

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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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 investment advisors offer different clients conflicting advice?

Generally speaking, it's reasonable to expect that a financial advisor is going to have different…

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Can victims outside the United States pursue claims for investment losses?

Many international investors invest in the US markets, frequently utilizing US-based brokerage firms. Over the…

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How are compensatory damages calculated in securities litigation?

Compensatory damages generally refers to the amount of money that the customer has lost in…

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Do most securities claims involve fraud?

Although many people are familiar with reading bad investment fraud cases in the press involving…

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Does the SEC or FINRA adequately protect investors?

The Securities and Exchange Commission and FINRA are the two primary regulators of the securities…

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How can a lawyer help me if I feel my accountant is taking advantage of me?

Many accountants work with their clients with their financial affairs whether it be helping them…

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How can I recover money lost due to investment negligence or abuse?

An investor may be able to cover their investment losses if the brokerage firm violated…

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How do I find out if the person or company trying to sell me gold or silver is legitimate?

There are various ways to invest in precious metals, including owning the physical metal itself,…

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How do I know if a precious metal firm is legitimate?

There are many different types of ways to invest in precious metals, including owning the…

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Is a firm liable for the actions of its brokers?

Of course. Most financial advisors are merely the front person or the salesperson for the…

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Is a securities firm liable for the actions of its brokers?

A brokerage firm is generally responsible for the acts of its brokers. In legal terms,…

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What are some typical investment frauds to be aware of?

There's no typical type of investment fraud. Throughout my career I've seen many different types…

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What do diversification and asset allocation mean?

Diversification and asset allocation generally refer to portfolio management tools that avoid unnecessary risk in…

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What is a fiduciary?

A fiduciary is a person that agrees to act in your best interest. In the…

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What is churning?

Churning is when a stock broker and financial advisor trades a customer's account in order…

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What is Florida Statute 517.301?

Florida Statute, 517.301, is the Florida Investor Protection Statute. It's a statute specifically intended to…

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What is investment fraud?

Investment fraud is anybody trying to cheat somebody else out of their money. It's one…

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What is securities fraud?

Securities fraud takes many different forms. It can either be when a company makes a…

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What questions should I ask a commodities broker?

When hiring a new advisor, whether for commodities or for securities, 2 of the most…

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What should I do if I am unknowingly invested in a Ponzi scheme?

It's important to realize that you're probably not alone and there are many other victims…

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What should I do if I feel my broker doesn’t have my best interest at heart?

The first question when determining whether or not your broker had your best interests at…

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