Registration of Dealers, Associated Persons and Investment Advisers in Florida – South Florida Securities Attorney

Registration of Dealers, Associated Persons, and Investment Advisers in the State of Florida – South Florida Securities Attorney: Chaper 517.12 Fla.Stat. labeled Registration of dealers, associated persons, and investment advisers provides in relevant part that:...

Do CFPs Have to Register as an Investment Adviser in Florida – Delary, Deerfield Beach, Boca Raton and Boynton Beach, Florida FINRA Arbitration, Litigation and Elder Abuse Attorney

Do CFPs have to register as an Investment Adviser in Florida – Delray, Boynton Beach, Lantana, Boca Raton and West Palm Beach FINRA Arbitration, Litigation and Elder Abuse Attorney: Any person who for compensation refers, solicits, offers, or negotiates for the...

Florida’s Requlation D and Rule 506 Offering Requirements – Boca Raton, West Palm Beach and Fort Lauderdale, Florida Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Florida’s Regulation D and Rule 506 Offering Requirements – Boca Raton, Fort Lauderdale and West Palm Beach, Florida Securities Fraud and Misrepresentation FINRA Arbitration, Litigation and Elder Abuse Attorney: What are Florida’s Regulation D and...

FAQ’s Relating to a Brokerage Account Transfer – Boca Raton, Florida Broker/Dealer FINRA Arbitration and Litigation Attorney

Fort Lauderdale, Boca Raton and West Palm Beach, Florida Broker/Dealer FINRA Arbitration and Litigation Attorney: FAQ’s You Should Consider Asking Before You Initiate Your Account Transfer: Discussing the transfer process with your new firm is the best...

Mutual Fund Switching – South Florida Mutual Fund Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Unsuitable and Inappropriate Mutual Fund Switching – Stuart, Hope Sound, Jupiter, West Palm Beach, Lantana, Delray Beach, Lake Worth and Boca Raton, Florida FINRA Arbitration, Mediation and Litigation Attorney: Mutual Fund Switching: Mutual fund switching is the...

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,...

Insurance Policy (Contract) Misstatement or Omission – South Florida Insurance and Investment Fraud and Misrepresentation Litigation and Arbitration Attorney

South Florida Insurance Dispute and Litigation Attorney: The general rule in Florida is that a misstatement in, or omission from, an application for insurance need not be intentional before recovery may be denied pursuant to 627.409. Florida Statute 627.409 provides...

FAQ Regarding Interpretation of Insurance Contracts, Including Annuity Contracts – South Florida Insurance Litigation and Arbitration Attorney

FAQ’s Relative to the Interpretation of all Types of Insurance Contracts, Including Variable and Fixed Annuity Insurance Contracts – Florida Insurance Litigation and Arbitration Attorney: Florida law requires that insurance contracts are construed...

Florida Shareholder Notice and Consent Requirements and Dissenters’ Rights – Broward and Palm Beach County, Florida Corporate and Business Litigation and Arbitration Attorney

Florida Shareholder Notice and Consent Requirements and Dissenters’ Rights – South Florida Corporate Litigation and Arbitration Attorney: Shareholder notice and consent requirements and dissenters’ rights statutes are intended to insure that...