Securities Fraud Q&A

FINRA arbitration is only required where the customer has signed an agreement waiving his rights to file a lawsuit in court and instead requiring him to file a FINRA arbitration. While most national and regional brokerage firms do require customers to sign FINRA arbitration agreements... Read More
Securities class action refers to the cases that are being filed on behalf of hundreds of people who are victims of investment fraud. Securities class action suits result in the refund of money that has been decided upon by the judge or settled between the... Read More
Some of the best ways that enable you to protect your securities are: Constant monitoring of your assets and stock investments. Do not trust the stockbrokers with the investments blindly. Take their advice regarding the investments and consider it, but make the decisions by yourself.... Read More
Self-directed IRAs are a type of financial instrument which allows a person to invest in a larger range of assets than a traditional IRA. Many of us are familiar with IRAs that invest in stocks, bonds, mutual funds, and certificates of deposit, but self-directed IRAs... Read More
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