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You may have lost money in your investment portfolio,
due to mismanagement and not even know it.

May 2017 Archives

Protecting your elderly loved one against financial abuse

It is heartbreaking to learn of the mistreatment and abuse of a loved one, especially when it came at the hands of a trusted friend or ally. Abuse comes in many forms, and while elderly individuals are susceptible to various types of mistreatment, financial abuse is one of the most common and most devastating. 

He certainly impressed his investors, and he also bilked them

He touted himself as a paragon of virtue, making sure that would-be investors in his company offerings were apprised of his claimed Eagle Scout status as a youth. He sought to draw nearer with individuals and families who ultimately became his defrauded victims by noting a common religious affiliation he shared with them.

What is a UIT, and why is the SEC sharply focused on this investment?

"The leopard doesn't really change its spots," says the critic of one so-called "IBD" (independent broker-dealer) entity that was recently slapped hard -- and for a second time -- by the Financial Industry Regulatory Authority.

Is identity theft a growing concern among investment companies?

Our securities fraud law firm often helps clients who have suffered harm because of faulty advice from their brokers, as judged by a reasonableness standard. Yet a broker’s fiduciary duty also extends to practical matters, such as verifying a client’s identity.

When does bad investment advice become a fiduciary breach?

Although investing in the market may not come with guaranteed results, not every undesirable outcome can be chalked up to market forces. Sometimes, bad investment advice might be to blame, possibly implicating a breach of a broker's fiduciary duty. A recent disciplinary action by the Financial Industry Regulatory Authority Inc. provides context.

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