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Private Equity Firms Investigated For Tax Strategy
Financial Firms Face Subpoenas on Tax Strategy The New York attorney general is investigating whether some of the nation’s biggest…
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Elder Investor Fraud: The Crime Of The 21st Century
A Task Force has revealed that one out of five citizens over the age of 65 has been the victim…
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South Florida Is A Hotbed For Investment Fraud
As reported by the Miami herald below, Florida is a haven for securities fraud. The sec can prosecute the criminals,…
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JP Morgan Was On Both Sides Of Transaction With $2 Billion Loss
BY AZAM AHMED Robert Lisak Mary Callahan Erdoes runs the asset management unit. For hedge funds that could smell blood…
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Suitability Of Leveraged And Inverse ETF (Exchange Traded Funds)
There has been much press lately about the sales practices of Exchange Traded Funds (“ETFs”) to the individual investor. FINRA…
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FINRA Fines Wells Fargo, Morgan Stanley, UBS And Citigroup Over EFT Sales
By Christopher Condon and Joshua Gallu – May 1, 2012, 4:47 PM ET Citigroup Inc. (C), Morgan Stanley, UBS AG (UBSN) and Wells…
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Blog
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Fraud in the Time of COVID-19: Red Flags of Investment Fraud
Whenever there is a stock market crash, such as in the COVID-19 stock market crash, fraud that has been hidden…
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Has the Stock Market Crash Forced a Margin Call in Your Brokerage Account?
When the stock market quickly moves down, as it has been doing during the coronavirus market crash, you may find…
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What If I Can Not Reach My Broker During The Coronavirus Pandemic?
The recent events of the coronavirus pandemic have caused a great dislocation of office workers and many securities professionals have…
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