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

Securities Law Archives

Did Barclays overcharge you? Fund set to reimburse 25,000 clients

The Securities and Exchange Commission 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 created a Fair Fund, setting aside over $97 million to refund and reimburse clients it overcharged or wrongly advised.

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.

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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