Securities Fraud Q&A

Created as a response to the late-2000s recession, The Dodd-Frank Wall Street Reform and Consumer Protection Act represents the most significant changes to financial regulation in the United States since the regulatory reforms that followed the Great Depression. Among its measures, Dodd-Frank includes corporate governance... Read More
As it relates to investment matters, standard of care refers to how investment professionals – including investment advisors, Registered Investment Advisors, and brokers — render service to their clients. Good standard of care means these professions serve their client’s best interests with the intent of... Read More
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Although fraudulent actions surrounding self-directed IRAs can, unfortunately, happen anywhere in the country the state of Indiana, and surrounding states, have had several instances of this type of fraud coming to light. 1.     Randell Morrison – Indiana One of the most recent cases of... Read More
The U.S. Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) and the North American Securities Administration Association (NASAA) have jointly issued an Investor Alert about the potential risks associated with investing in self-directed IRAs. You can find this short PDF here. http://www.sec.gov/investor/alerts/sdira.pdf... Read More
If you think you may have become the victim of investment fraud, or want to assert a claim against your stock broker, it is important to consult with a qualified investment fraud lawyer in your area, and not a general law practitioner. Read More
Any lawyer can call him or herself a securities attorney, since there are no certifications approved by any state bar associations, or the American Bar Association, in the area of investment and securities fraud litigation. However, that does not mean all lawyers are created equally... Read More