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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…
Can an investor lose money in bonds?A bond is a loan from either a government or a corporation, in which an…
Can investment advisors offer different clients conflicting advice?Generally speaking, it's reasonable to expect that a financial advisor is going to have different…
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…
How are compensatory damages calculated in securities litigation?Compensatory damages generally refers to the amount of money that the customer has lost in…
Do most securities claims involve fraud?Although many people are familiar with reading bad investment fraud cases in the press involving…
Does the SEC or FINRA adequately protect investors?The Securities and Exchange Commission and FINRA are the two primary regulators of the securities…
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…
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…
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,…
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…
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…
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,…
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…
What do diversification and asset allocation mean?Diversification and asset allocation generally refer to portfolio management tools that avoid unnecessary risk in…
What is a fiduciary?A fiduciary is a person that agrees to act in your best interest. In the…
What is churning?Churning is when a stock broker and financial advisor trades a customer's account in order…
What is Florida Statute 517.301?Florida Statute, 517.301, is the Florida Investor Protection Statute. It's a statute specifically intended to…
What is investment fraud?Investment fraud is anybody trying to cheat somebody else out of their money. It's one…
What is securities fraud?Securities fraud takes many different forms. It can either be when a company makes a…
What questions should I ask a commodities broker?When hiring a new advisor, whether for commodities or for securities, 2 of the most…
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…
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…
