Securities fraud is unfortunately common across the U.S. and Puerto Rico. It can take shape in many different ways, but the result is always that someone loses a lot of money inadvertently. A recent fraud was discovered in Puerto Rico involving a city and an...
Securities fraud affects many New Yorkers every year, sometimes leading to the loss of thousands or even millions of dollars. In general, securities fraud involves deceiving investors or manipulating financial markets. The following is an overview of three common...
The legendary character Robin Hood famously robbed from the rich to give to the poor in medieval England. In the 21st century, a popular investment company calling itself Robinhood has been accused of taking advantage of the poor and lying to its customers. Robinhood...
Having a strong investment portfolio is important to many people here in the Northport area. However, there is a possibility that private investors can fall victim to fraud or misrepresentation on the part of their trusted broker or investment advisor. Fraud and other...
Disclosure statements are often found at the end of investment research reports, often in tiny print that’s easy to miss. It’s easy to overlook this information. However, a disclosure statement can contain crucial information that can help guide your investment...
Recently filed criminal charges reinforce the notion that investors ask pertinent questions before investing and scrutinize the broker and representations regarding an investment. In this recent case, the U.S. Attorney’s Office for the Southern District of New York...
The Financial Industry Regulatory Authority (FINRA) is designed to help protect investors from unscrupulous brokers and financial firms. To that end, FINRA has recently adopted some new rules designed to help protect seniors from financial exploitation. Seniors and...
Investors in New York, across the nation and its territories, are constantly searching for strategies to maximize their investments. In some instances, they are offered a financial opportunity that sounds like it has a good chance of succeeding. It may even appear to...
Being the victim of securities fraud can be devastating on many levels. Securities fraud, and the harm it causes, can be extensive for victims and their families financially and emotionally. As a result, victims of securities fraud should be familiar with what...
When you put your investment portfolio in the hands of your broker, you likely trusted that any decisions they made would be sound. Yet, upon scrutiny, some of their choices may seem at odds with your circumstances or needs. Your broker should protect your financial...
