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

Posts tagged "Securities Law"

Out of client's wallet, into his: Finra disbars investment broker

Given the Financial Industry Regulatory Authority's assessment that he "plundered," it was a virtual certainty that a disciplinary hearing conducted recently by a Finra panel would end up badly for a broker under a withering spotlight.

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.

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.

Investment scammers can easily hurt legions of people

It is interesting -- and many readers might also note distressing -- to recurrently see stories featuring defendants who commit a criminal act that arguably hurts no one other than themselves and nonetheless receive lengthy (sometimes decades-long) prison sentences.

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