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401k Fraud: What do I need to know?
You have spent years building up your retirement account in the hope that one day you will be able to…
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Beware of Foreign Currency Trading Fraud
Last week, the Commodity Futures Trading Commission (“CFTC”) announced charges against individuals in a foreign currency Ponzi scheme targeting African…
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FINRA Charging Brokers More for Expungement Claims
Starting September 14, 2020, brokers wishing to expunge information from their records will have to pay higher minimum fees to…
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Are You a Teacher With Investment Losses?
As recently stated by the Securities and Exchange Commission (“SEC”) in reaching a $40 million settlement, “Too often educators are…
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Lose Money in a Private Placement Investment?
Private Placements are Risky As an individual investor, you may be offered an opportunity to invest in an unregistered offering…
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LOST MONEY TRADING OPTIONS?
With the market’s wild fluctuations in 2020, many novice investors were lured into the stock market with dreams of hitting…
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Blog
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Why Robinhood Makes Trading “Free”
Have you ever wondered how online trading platforms make money if your trading is supposedly “free?” Despite not charging customers…
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Vetting Cases And Drafting a Securities Arbitration Claim: The Keyboard Is Mightier Than The Market
I. Introduction There is no magic to drafting a securities arbitration claim. Indeed, crafting an effective statement of claim is…
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Are you Stuck in a Principal Protected Note?
With interest rates dramatically falling in the fixed income market like municipal bonds and CDs, brokers have been offering sexy…
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This website is managed by Oamii.