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

Securities Law Archives

Bilked investors: Account actually had $5 in it, not $600 million

Some con artists who financially prey on the public have considerable staying power, given their ability to lie in incremental fashion, that is, with just enough deception to make it appear that everything account-related is legitimate while in fact they are stealing over a very long-term from trusting clients.

Criminal conviction closes book on athlete/adviser relationship

For famed and long-tenured basketball superstar Tim Duncan, the enduring relationship he had with his financial adviser was akin to a partnership with a fellow player out on the hoops court who commanded respect through years of consistent and trust-inducing effort.

Did Barclays' Failure to Supervise Your Securities Account(s) and Investment Managers From 2010 Through 2014 Result In Significant Underperformance Of Your Account(s)?

The Securities and Exchange Commission ("SEC") has found Barclays Capital in violation of several sections of the Investment Advisers Act of 1940, Rule 206(4)-7, and the Securities Act of 1933. Without admitting or denying those findings, Barclays has agreed to a cease and desist order and to pay $97 million for the return of "advisory fees" for account supervision and due diligence that was never performed, interest, and a penalty of $30 million to the SEC.

Agents who exploit the trust of the elderly

You were satisfied that your parents had enough to sustain them into retirement, barring any unforeseen circumstances. You knew they had worked hard and saved carefully, and perhaps you had a hand in helping them invest for the future. That's why you were shocked to learn that a large chunk of their savings was gone, lost in an investment they never should have made.

With private placement investments, a bit of wariness not misplaced

Virtually any online overview or discussion of so-called "private placement investments" will quickly stress that, while money placed into these vehicles might indeed yield a hefty return, any certainty regarding that is far from assured.

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. 

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