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Securities Tools

Glossary of Securities Terms
A security is an investment in a common business enterprise. Stocks, bonds, notes, debentures, investment contracts, treasury stocks, transferable shares and mutual funds are all examples of securities. The laws and rules governing the registration and regulation of securities are complex. Here, we have compiled a glossary of some common securities law terms.

Overview of the Securities and Exchange Commission
The United States Securities and Exchange Commission (SEC) is tasked with regulating securities, protecting investors and maintaining efficient, fair markets. This article provides a brief overview of the Securities and Exchange Commission.

SEC Forms
The Securities and Exchange Commission (SEC) requires all companies to file certain documents, such as registration statements and periodic reports, which are then available free to the public. This article describes some of the more common SEC forms that companies use.

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Recent Reported Case Results

  • Securities Litigation: Jeffrey B. Sciallo et al. v. Tyco International Ltd. et al. | Settlement Amount: Subject to a Confidentiality Agreement
  • Financial Advisor Misconduct: Lyons v. Merrill Lynch and Phua Young | NASD Arbitration: Amount Requested: $625,000; Amount Awarded: $621,562, including $240,000 in punitive damages against Merrill Lynch and Phua Young (Merrill Lynch securities analyst) and $125,000 in interest plus expert witness fees.
  • Broker Misconduct: David and Jonathan Libman v. David Garfinkel, First Montauk Securities Corp. et.al. |NASD Arbitration: Amount Requested: $300,000; Amount Awarded: $284,000 plus interest.
  • On-Line Trading Securities Arbitration: Naomi Sayegh v. J. Peter Ricketts, Ameritrade, Inc., Ameritrade Holding, Corp., and Accutrade, Inc. | NASD Arbitration: Amount Requested: $156,000; Amount Awarded $44,600 plus interest
  • Annuities Violations: Nationwide Life Insurance Company v. Helen Constans Christopher Rutland and Barbara Grahams | Amount Awarded: $393,541.76 in compensatory damages and $800,000.00 in punitive damages

Timothy J. Dennin, P.C.
Manhattan Office
270 Madison Avenue, 13th Floor
New York, NY 10016
Phone: 866-664-8035
Fax: 212-688-6457
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Northport Office
316 Main Street
Northport, NY 11768
Phone: 866-780-0305
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Three Steps to Take

Organize.

Organize your account statements and all documents exchanged with your investment advisor that relate to the investments in question and obtain copies of your new account forms and any amendments thereto reflecting your risk tolerance, investment objectives and investment history.

Prepare.

Prepare a chronology of events detailing what was said when and by whom concerning the investments in question.

Contact.

Contact counsel experienced in securities arbitration and litigation concerning these issues.

Securities Attorney Timothy Dennin

At Timothy J. Dennin, P.C., with offices in Manhattan and in Northport, Long Island, we offer securities-related legal services to domestic investors in New York City, the Bronx, Queens, Brooklyn, Staten Island, Kings County, Queens County, Northport, Montauk, Long Island, Suffolk County, New York, Connecticut, New Jersey, Pennsylvania and nationwide; and international-based private investors and institutions.