Tag Archives: Florida Stock Broker Fraud Lawyer
What Investors Should Know About Recent Stock Market Volatility
August was a tough month for many investors, as several major stock indexes posted their steepest declines in more than three years. Prompted by a sell-off in the Chinese stock markets which began in mid-June, American investors are now experiencing a resurgence in “volatility” with respect to their own portfolios. Such volatility also raises… Read More »
SEC Provides Hedge Fund Data to Congress
In 2010, in response to the 2007–2008 financial crisis, the federal government passed the Dodd-Frank Wall Street Reform and Consumer Protection Act. Dodd-Frank made a number of important changes to financial regulation in the United States, including to reporting requirements of private funds like private equity funds or hedge funds. Private equity typically involves… Read More »
“Free Lunch” Investment Seminars Not Always Only About Education
According to “Save and Invest”—a website and newsletter run by FINRA’s Investor Education Foundation—over 6 million Americans 55 and above have attended a “free lunch investment seminar.” But as FINRA also notes that these seminars are often less about education than they are about sales. “[A]ttendees are often pressured into making unsuitable—or even fraudulent—investments,”… Read More »
FINRA Urges Focus on “Concentration Risk”
No two investors are the same. They have different income goals, different risk tolerances, and different time horizons—among other differentiating factors. Indeed, one of the most common ways in which investors and brokers get into disputes with each other is through complaints of “unsuitability.” This is an argument by the investor that his or… Read More »
