FINRA Arbitration

FINRA Sanctions Four Firms $9.1 Million for Stockbroker Fraud (Part 2)

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 […]

Non-Trade REITs Make Stockbroker Fraud News

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 […]

Corporate Fraud and Internet Scams (cont.)

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 […]

5 steps to take before contacting a Securities Arbitration Attorney

Do you think you have been a victim of investment fraud?  If so, you should do a few things before you contact an investment fraud attorney. 1.         Obtain a copy of your entire investment portfolio; 2.         Make sure you have the names and contact information for all stock brokers, brokerage firms, and any other investment […]


Con artists and a defrauders take every opportunity to solicit a scam on unsuspecting people, particularly under the premise of a recent natural disaster, such as the devastation which occurred as a result of the Japanese earthquake or the recent tornadoes which destroyed people’s lives and home right here on our own soil.  They seek […]