Every two to three months, FINRA sends us information regarding new news and I will be sharing a host of that information with you over the next couple of weeks. If you have any questions, please CONTACT US for your evaluation. The first installment is regarding the launching of a pilot program for Large Arbitration […]
This Month’s Stockbroker Fraud Sanctions Last week, I breezed over some of the risk factors involved with leveraged and inverse ETF’s that allowed four prominent investment firms to be sanctioned by FINRA for committing stockbroker fraud. Today, I’d like to go further into those risk factors, which are not found with traditional ETF’s, and how […]
Last Week’s Stockbroker Fraud Sanctions Last week, in Part 1 of this blog series, I told you the story of how four large firms were sanctioned $9.1 million by FINRA for defrauding their investors. Today, I’m going to tell you how they got away with it and help pass on how particular investments lend themselves […]
Stockbroker Fraud News Is the Proof in the Pudding After a blog series on how stockbroker fraud proliferates the non-trade REITs market, I thought it was the perfect time to show you how thousands of investment savvy clients were defrauded using some of the techniques FINRA has warned investors to look for in non-trade REIT […]
Any Tampa lawyer will tell you securities arbitration is an alternative dispute resolutions process to the traditional in-court law suit. Instead of stepping before a judge and jury, participants have the opportunity to have disputes mediated by an impartial mediator or arbitrator, who has knowledge and experience on the areas in dispute. In most cases, Tampa […]
Corporate Fraud and the Change in Phishing Scams In my last blog, we talked about phishing and other internet scams. Today, I want to talk about how phishing has changed and look at some other forms of corporate fraud. It used to be that a misspelled company name in the URL was a sure sign that […]
Today, I’m going to continue with some warning signs of investment fraud and Ponzi scams. Only invest in products that are registered with the SEC or state regulators. Ponzi scams are usually unregistered investments. If the product is registered it gives the stockbroker more legitimacy since you can research the company’s management, products, services and […]
In the last blog, this fraud lawyer promised to give you some things to look out for that could tell you your investment is actually a Ponzi scam. Hopefully this Tampa firm can help keep you safe from investment fraud and Ponzi scams. If it sounds too good to be true, it probably is! This […]
Bernard “Bernie” Madoff is another famous convicted Ponzi scam artist. On March 12, 2009 Madoff plead guilty to 11 charges related to securities fraud and his own personal Ponzi scam. Madoff’s investment fraud hit thousands of clients, from the rich and famous to small investors, costing them as much as $64 billion. Even this fraud […]