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Debra G. Speyer
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Debra Speyer’s Legal Guides

20 total


  • FINRA Expanding Arbitration to Adviser Disputes

    Investors can resolve disputes with their investment advisers through the Financial Industry Regulatory Authoritys arbitration process. Until recently, the program was limited to broker-dealers and securities firms subject to FINRA oversight. FINRA has indicated that it will acce...

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  • NASAA Report Highlights Most Common Compliance Failures at Brokerage Firms

    A recent report by North American Securities Administrators Association (NASAA) highlights the top problem areas for broker-dealers. The report was compiled after a nationwide series of examinations of broker-dealers, conducted by state securities examiners from 24 NASAA jurisdic...

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  • New Study Confirms Older Americans Are Prime Targets for Investment Fraud

    Financial abuse and investment fraudare a growing problem for older Americans, according to a recent survey of 756 experts conducted by the Investor Protection Trust and Investor Protection Institute. Even more alarming, the experts agreed that many older investors do not have th...

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  • New Jersey Investment Firm Accused of Bilking Investors Out of $12 Million

    A New Jersey investment firm and its executives are facing charges that they defrauded investors and raised approximately $12 million through the sale of unregistered securities. Osiris Fund Limited Partnership, Osiris Partners, LLC, and 10 individuals are named in the securities...

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  • New Survey: Investors Want Strong Wall Street Oversight

    Americans strongly support stronger oversight of Wall Street, including brokers and advisers, in the wake of the financial crisis, according to a new survey commissioned by AARP. Three out of four U.S. voters strongly support federal reforms made by agencies like the U.S. Consume...

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  • JPMorgan Faces Class Action Lawsuit for Pushing Home Grown Funds

    JP Morgan is facing its first investor lawsuitinvolving allegations that the brokerage firm pushed investors into more expensive and less successful in-house funds in order to boost the companys profits. The lawsuit, filed in New York, seeks class-action status. The investor cont...

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  • Securities Fraud Prevention: Do Your Investments Need a Check-Up?

    Investors who take an active roll in their investments are far less likely to fall victim to broker fraud or negligence. While it is important to ask questions before buying a security or selecting an investment professional, your due diligence should not end there. It is equally...

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  • Checking Out Your Broker? What to Look Out For to Avoid Fraud

    When selecting a broker or brokerage firm, it is important to understand who will be looking after your hard-earned money. While most investment professionals are reputable, it is often difficult to weed out the good from the bad after a short meeting or telephone call. This mean...

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  • Texas Investment Fraud Scams 100 Seniors Out of $6.7 Million

    An Amarillo-based property management and insurance company selling securities has swindled $6.7 million from about 100 investors, most of them elderly. Jimmy Don King and his boss John Langford, the principal owner of Langford Associates, were the masterminds behind the Texas i...

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  • What Does the Collapse of MF Global Mean for Investors?

    As has been widely reported in the media, brokerage firm MF Global recently filed for bankruptcy after suffering a string of losses from high-risk European bonds, becoming the first U.S. casualty of the regions debt crisis. The collapse has left many investors anxiously wondering...

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