South Florida Arbitration & Litigation Lawyer Blog

Concealing Poor Performance of Fund Assets – South Florida Securities and Investment Mismanagement Attorney SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors The Securities and Exchange Commission recently announced fraud charges against an investment adviser and her New York-based firms accused of hiding the poor performance…

Underwriter Due Diligence – Fact or Fiction – Boca Raton, Florida Fraudulent Underwriting Attorney Securities and Exchange Commission v. Macquarie Capital (USA) Inc. et al., Civil Action No. 15-CV-02304 SEC Charges New York-Based Brokerage Firm with Faulty Underwriting of Public Offering by China-Based Company The Securities and Exchange Commission recently announced charges against a New…

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: Option…

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. Opening a Position – When you buy…

South Florida, including Boca Raton, Fort Lauderdale, West Palm Beach and Delray Beach Business and Construction Litigation and Arbitration Attorney: The Law Office of Russell L. Forkey, P.A. handles all types of contract disputes including business and construction disputes. Business disputes include such things as breach of non-compete agreements, shareholder derivative actions, breach of employment…

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…

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…

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…

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…

Ameriprise Financial Services, Inc. and David Bradley Tysk – Boca Raton, Florida FINRA Investment Suitability and Breach of Fiduciary Duty Arbitration and Litigation Attorney: Ameriprise Financial Services, Inc. (CRD® #6363, Minneapolis, Minnesota) and David Bradley Tysk (CRD #1782289, Eden Prairie, Minnesota). The firm was censured and fined $100,000. Tysk was fined $50,000 and suspended from…