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

October 2017 Archives

SEC moves to simplify disclosures in investor communications

A new rule for corporate compliance may be on the way for publically traded companies. The U.S. Securities and Exchange Commission has issued a new proposed rule that would simplify the disclosures such companies would have to make to investors. These disclosures are commonly made in annual reports, stock prospectuses and other required filings.

What is FINRA?

If you are among the many California investors who has concerns about the safety of the investments you make, you may take comfort in knowing there is an agency looking out for your well-being. The Financial Industry Regulatory Authority, Inc., works to protect you through education, discipline and enforcement.

Recent SEC probe highlights unsuitable trading, churning

Good-faith investors were essentially "doomed" by strategies pursued by several advisers at one investment brokerage, notes a recent Investment News article chronicling fraudulent practices that yielded sharp losses for customers.

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