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Horizon Private Equity Ponzi Scheme Assets Frozen
On August 20, 2021, the Securities and Exchange Commission (SEC) announced the filing of an emergency action to stop a…
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Trading Apps are Targeting Teen Investors
Buckle up folks, the brokerage industry has found an entire new audience—teenagers. While most people know that anyone who is…
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How Can I Sue My Stockbroker for Investment Loss?
Many investors who call our offices are surprised to learn that if they want to sue their stockbroker or financial…
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Tell the SEC About Your Experiences with Online Trading Apps
The Securities and Exchange Commission (“SEC”) has just posted a “request for information and comments” seeking information concerning the “digital…
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Trading In The Time Of Covid: A Robinhood Bromance
Introduction In ancient times, circa 1960, an investor would dial his stockbroker on a rotary phone, place an order to…
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How Long Do I Have to Sue my Stockbroker?
Like having milk in your refrigerator, it’s not a good idea to let your securities fraud case sit too long.…
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Blog
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How to File a FINRA Complaint for Investigation?
Sometimes clients ask us how they can submit a FINRA complaint against their broker or brokerage firm to begin an…
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What is a Whistleblower?
Recently, an SEC Whistleblower was awarded $36 million for information and assistance that significantly contributed to the success of an…
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What’s FINRA Arbitration and How Can an Attorney Help?
If you have been the victim of stockbroker fraud or brokerage firm negligence, you will have to resolve your claims…
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