A National Securities Arbitration & Investment Fraud Law Firm
California broker, Angelo Talebi, finds himself in hot water with his firm and FINRA, as well as his clients. Does your broker have your username and password for your online trading account? If so, does his current employer know that he does? If not, it could spell trouble for everyone…
Each faces a one-year suspension for alleged unregistered sale of penny stocks On Thursday, the Securities and Exchange Commission announced settlements in the cases of three Oppenheimer & Co. employees in Boca Raton, Florida. Scott A. Eisler, Arthur M. Lewis and Robert Okin allegedly were involved in the unregistered sale…
Tips on how how to be alert so you do not fall victim to an investment scheme. The old adage “don’t believe everything you hear or read” rings true in the case of a recent Securities Exchange Commission (SEC) Investor Alert. This particular alert warns investors about financial professionals that…
Be prepared, the Securities Exchange Commission (SEC) warns investors, “to ask your insurance agent, broker, financial planner, or other financial professional lots of questions about whether a variable annuity is right for you.“ Investor education is the key to making informed investment decisions, but what questions should be asked? Investors…