Firm News


Did you invest in an IPO based on false information?

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Initial Public Offerings (IPOs) have a reputation for making investors rich, seemingly overnight. Sometimes, though, an individual investor is duped into investing in a company based on false, incomplete or misleading information in the prospectus. This could constitute IPO fraud and could lead to a lawsuit. IPO prospectus filings An IPO gives individual investors the […]

Did my broker live up to their professional responsibilities?  

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When people invest through a stockbroker, they are putting their trust in that individual to follow the law and live up to their responsibilities as a professional. In recent years, it has become much easier for retail investors to take part in the market. That has been positive in many ways as people who otherwise […]

What are the financial scams that target elders?

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The most common types of financial scams that target the elderly try to steal tax refunds or social security benefits. Elders often receive constant calls or emails related to other kinds of scams. Yet, broker misconduct defrauds elders in ways that are far less obvious and far more damaging. How to recognize broker misconduct? You […]


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As reported in the WSJ, Credit Suisse was well aware of material risks related to the multibillion dollar Greensill Investments and failed to disclose these very substantial risks to investors in Credit Suisse sponsored Greensill funds. According to reliable sources, Credit Suisse marketed these funds to clients as 1 to 2 on a scale of […]

3 common tricks used in investment scams

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Con artists have become increasingly sophisticated when attempting to scam investors. Social media, promotional videos, and emails have widened a con artist’s net. It can be challenging to determine whether an investment opportunity is legitimate or not. Here are three common tricks used in investment scams. It’s important to recognize these red flags to help […]