Articles Posted in Investment Terms and Concepts

Public Company Going Private – South Florida Securities and Investment Attorney

Public Company Going Private:

A publicly held company generally means a company that has a class of securities that is registered with the Securities and Exchange Commission because those securities are widely held or traded on a national securities exchange. When a public company is eligible to deregister a class of its equity securities, either because those securities are no longer widely held or because they are delisted from an exchange, this is known as “going private.”

Defunct Companies (“Microcap“) – Pump and Dump Scheme – Florida Securities Investment Fraud Attorney

Defunct Companies: Can the Stock Continue to Trade?

Even when a company is no longer in business, there may still be active trading in its stock. This is because companies that are no longer operating may still have outstanding registered stock, which can be traded until the company has the shares deregistered or the stock’s registration is revoked. The SEC does not have a rule that prohibits the trading of stock once a company becomes defunct because it does not want to forbid transactions between willing buyers and sellers, including those holding shares in defunct companies.

Security and Investment Analyst – South Florida Security and Investment Fraud, Breach of Fiduciary Duty and Mismanagement Litigation Attorney:

Factors to Consider in Analyzing Analyst Security and Investment Recommendations:

Research analysts study publicly traded companies and make recommendations on the securities of those companies. Most specialize in a particular industry or sector of the economy. They exert considerable influence in today’s marketplace. Analysts’ recommendations or reports can influence the price of a company’s stock-especially when the recommendations are widely disseminated through television appearances or through other electronic and print media. The mere mention of a company by a popular analyst can temporarily cause its stock to rise or fall-even when nothing about the company’s prospects or fundamentals has recently changed.

Risks Associated With Option Trading – Boca Raton, Florida Investment Abuse FINRA Arbitration and Litigation Attorney

What are some of the risks associated with trading options?

Options like other securities carry no guarantees, and investors should be aware that it is possible to lose all of your initial investment, and sometimes more. For example:

Boca Raton and West Palm Beach, Florida Option Trading Abuse FINRA Arbitration and Litigation Attorney:

Options Trading:

Market Participants – There are generally four types of market participants in options trading: (1) buyer of calls; (2) sellers of calls; (3) buyers of puts; and (4) sellers of puts.

Retirement Plan Fiduciary Issues for Employers – Fort Lauderdale, Boca Raton, and West Palm Beach, Florida Breach of Fiduciary Duty Litigation Attorney:

Retirement Plan Fiduciary Issues For Employers:

Even if employers hire third-party service providers or use internal administrative committees to manage the plan, there are still certain functions that can make an employer a fiduciary.

Advertising Unregistered Securities Offerings – Boca Raton and West Palm Beach, Florida Fraud and Misrepresentation in the Advertising of Unregistered Securities Offerings Attorney:

Newly announced rules regarding advertising of unregistered securities offerings.

General advertising is permitted in certain offerings as a result of rules adopted by the SEC as required by the Jumpstart Our Business Startups (JOBS) Act. You may begin to see advertising and announcements for opportunities to invest in certain securities offerings, sometimes called private placements. These offerings may be for shares in a company or interests in a private fund, such as a hedge fund or venture capital fund. The advertising may be through a number of different means, including the Internet, social media, seminars, print, or radio or television broadcast. The rules permitting this general advertising took effect on September 23, 2013.

South Florida Retirement Plan Attorney – Liability of Retirement Plan Fiduciaries:

Limiting Liability of Retirement Plan Fiduciaries:

As a retirement plan fiduciary, there is potential liability arising from your duties and responsibilities.  Fiduciaries who do not follow the basic standards of conduct may be personally liable to restore any losses to the plan, or to restore any profits made through improper use of the plan’s assets resulting from their actions.

What Is The Significance Of Being A Retirement Plan Fiduciary?

Fiduciaries have important responsibilities and are subject to standards of conduct because they act on behalf of participants in a retirement plan and their beneficiaries. These responsibilities include:

  • Acting solely in the interest of plan participants and their beneficiaries and with the exclusive purpose of providing benefits to them;
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