Alejandra Gandara – Florida Unapproved Outside Business Activity and Account Executive Negligent Supervision FINRA Arbitration and Litigation Attorney

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the...

Randall Lee Freeze – South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Forgery FINRA Arbitration and Litigation Attorney

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Forgery FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and...

Credit Suisse Group AG – Failure To Register – South Florida Failure To Register FINRA Arbitration and Litigation Attorney

Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients The Securities and Exchange Commission recently announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws by...

Promissory Notes – South Florida Promissory Note FINRA Arbitration and Litigation Attorney

Florida Promissory Note FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline...

Sicor Securities, Inc. and Gregory Lunar Merrick – South Broker/Dealer Negligent Supervision FINRA Arbitration Attorney

South Florida Broker/Dealer and Account Executive Negligent Supervision FINRA Arbitration Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to...

Elder, Senior and Retirement Abuse and Exploitation – Ponzi Scheme – South Florida Securities and Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney

South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Palladino, et al., Civil Action No. 13-11024-DPW (United States District Court for the District of...

FAQ’s About Asset Allocation – South Florida Improper and Unsuitable Asset Allocation FINRA Arbitration and Litigation Attorney

South Florida Improper and/or Unsuitable Asset Allocation FINRA Arbitration, Federal and State Court Litigation Attorney: Asset Allocation – Asset Allociation involves dividing an investment portfolio among different asset categories, such as stocks,...

South Florida Prime Bank and Overseas Debt Instruments Fraud and Misrepresentation Attorney

South Florida Prime Bank and Overseas Debt Instruments Fraud and Misrepresentation Litigation and Arbitration Attorny: Securities and Exchange Commission v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, et al., Civil Action No. 2:13-cv-2280 (D. Nev. Dec. 16,...

FAQ’s Margin – Fort Lauderdale, Florida Margin Abuse and Negligence FINRA Arbitration and Litigation Attorney

Margin Abuse, Margin Miscalculation and Excessive Margin – South Florida FINRA Arbitration and Litigation Attorney: “Margin” is borrowing money from your broker to buy a stock and using your investment as collateral. Investors generally use margin to...

General Features of Indexed Annuities – South Florida Indexed Annuity Misrepresentation and Fraud Litigation and FINRA Arbitration Attorney

Florida Indexed Annuity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: Prior to purchasing an indexed annuity, it is important that you understand various features contained in the annuity contract.  Some of these items are set forth...