South Florida Arbitration & Litigation Lawyer Blog

Are You an Accredited Investor – Private Investment and Private Placement Boca Raton, Florida Fraud, Misrepresentation and Mismanagement Litigation Attorney: Accredited Investors: Under the Securities Act of 1933, a company that offers or sells its securities must register the securities with the SEC or find an exemption from the registration requirements. The Act provides companies…

Boca Raton, Florida – Oil and Gas Offering Fraud – Fraudulent Stock Manipulation – False and Misleading Press Releases SEC Charges New Orleans Oil-And-Gas Company with Fraudulent Stock Manipulation Securities and Exchange Commission v. Treaty Energy Corporation, et al., Civil Action No. 4:14-cv-00812 (E.D. Tex., filed December 15, 2014) The Securities and Exchange Commission recently…

Boca Raton, Florida Hedge Fund, Securities and Investment Fraud and Breach of Fiduciary Duty Litigation and Arbitration Attorney: SEC Announces Fraud Charges Against Buffalo-Based Firm and Co-Owners Accused of Misleading Investors in Hedge Fund Hedge Fund’s Portfolio Manager Agrees to Settle Charges The Securities and Exchange Commission recently announced fraud charges against a Buffalo, N.Y.…

Fraudulent News Letters Used In Pump-and-Dump Schemes – Boca Raton, Florida Investment and Penny Stock Litigation Attorney SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes The Securities and Exchange Commission recently charged three penny stock promoters with conducting pump-and-dump schemes involving stocks they were touting in their supposedly independent newsletters. The SEC alleges that…

Rebalancing Your Asset Allocation Model – South Florida Investment Mismanagement FINRA Arbitration and Litigation Attorney: Rebalancing: Rebalancing is bringing your portfolio back to your original asset allocation mix. This is necessary because over time some of your investments may become out of alignment with your investment goals. You’ll find that some of your investments will…

South Florida, including Boca Raton, Deerfield Beach and Delray Beach Asset Allocation and Diversification Mismanagement Attorney: A diversified portfolio should be diversified at two levels: between asset categories and within asset categories. So in addition to allocating your investments among stocks, bonds, cash equivalents, and possibly other asset categories, you’ll also need to spread out…

South Florida, including Fort Lauderdale, Davie, Dania, Hollywood and Pompano Beach – Asset Allocation Investment Attorney Asset Allocation – Why It Is So Important: By including asset categories with investment returns that move up and down under different market conditions within a portfolio, an investor can protect against significant losses. Historically, the returns of the…

Boca Raton, Florida Preferred Stock and Limited Partnership Fraud and Misrepresentation Attorney: SEC Charges Principals of a Texas Oil and Gas Company with Conducting a Fraudulent Offering of Preferred Stock and Limited Partnership Interests, and Charges Seller with Acting as an Unregistered Broker Securities and Exchange Commission v. Paul R. Downey, et al., Civil Action…

10 Ways for Seniors to Protect Themselves From Fraud – South Florida Senior and Retirement Financial Abuse and Exploitation Attorney: Know who you’re dealing with. Try to find a seller’s physical address (not a P.O. Box) and phone number. With internet phone services and other web-based technologies, it’s tough to tell where someone is calling…

Refund and Recovery Scams – Boca Raton, Florida Fraud and Misrepresentation Attorney Refund and Recovery Scams Which Promise You That You Will Get Your Money Back: Phone Scams: Scam artists buy and sell “sucker lists” with the names of people who already have lost money to fraudulent promotions, many focusing on elder or retired individuals.…