South Florida Arbitration & Litigation Lawyer Blog

Stop Loss Orders – Good or Bad Idea? – Boca Raton, Florida FINRA Arbitration and Securities Litigation Attorney We have discussed on or website what a stop loss order is and what are some of the risks associated with its use. The purposed of this post is to give you some food for thought concerning…

The FBI announced that a former Chicago hedge fund manager was taken into federal custody today after he turned himself in for allegedly engaging in an investment fraud scheme in which he swindled more than $3.5 million from approximately 48 victims who invested in funds he purported to operate. The defendant, James Brandolino, was charged…

01/25/11 The FBI issued a release today concerning another “to good to be true” fraud that took place under the sunny skies of southern Florida-specifically, those of Palm Beach County-more than two dozen conspirators spent the past four years stealing away some $10 million from 10 banks in the area through all manner of fraud…

The FINRA Foundation and the NFL Have Up to Help Incoming Players Avoid Investment Fraud and Make Smart Financial Decisions WASHINGTON – The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the National Football League (NFL) announced that they are working together to help incoming NFL players spot and avoid investment fraud and begin…

South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: Normally, we provide information like this post on our main website. However, because of the contents of this post, we thought that it would constitute interesting reading for seniors, their care givers, personal representatives and trustees. This post reflects the…

We do not usually publish the same articles on both our website and this blog. However, we felt that this article was something that we thought was of particular interet to seniors. Stock Spams Lead to Stock Scams If you use the Internet you have received “spam” or junk email recommending you invest in a…

South Florida Variable and Fixed Annuity Fraud, Misrepresentation, Breach of Fiduciary Duty and Twisting FINRA Arbitration and Litigation Attorney: We recently were presented with the following factual situation. A single 82 year old, long retired woman received a “cold call” from a mortgage broker, who, after repeated telephone calls and visits to the woman’s home,…

Reverse Mortgages – Boon or Boondoggle – South Florida Retirement Abuse and Exploitation Litigation, Arbitration and Probate Estate Attorney: If you are approaching retirement age, and own your home, chances are you have heard about reverse mortgages-or will soon. Reverse mortgages can be helpful to homeowners who want to stay in their homes but are…

Broker/Dealer – Private Placements: As a result of the recent private placement debacle that seems to be discussed daily in the financial press, FINRA has proposed an amendment to its rules, which it believes will enhance investor protection. While the amendment is not the end-all to the problems that have recently been exposed in this…

As reported in an earlier Post, Missouri’s Secretary of State recently announced that a New York stock broker could face thousands of dollars in fines after cold-calling a Missourian to solicit investments. Since that time, the department has issued a cease and desist order relative to the matter. To recap, Mr. Yun allegedly cold called…