Legal Advice on Securities and Investment Fraud

Fraud Examiners, Bernie Madoff, Rockford Files,lawyers and Perry Mason: what do they have in common?Much more than you can imagine. ACertified Fraud Examiner (CFE) holds a credential (... more

A false representation, with knowledge or belief that the representation was false or without a sufficient basis for making the representation, to induce the someone to act or refrain from acting on... more

Arbitration is a means of resolving disputes between parties outside of court. In binding arbitration, the parties present evidence to an arbitrator or a panel of arbitrators and agree to abide by... more

Doctors, successful small business owners, and others are often targeted by investment and insurance professionals selling plans, products, or strategies with the promise of significant tax benefits.... more

I. Introduction Securities are an excellent way for any entity to generate revenue. The traditional security of a stock certificate costs little more than the expense of paper and printing to produce,... more

The use of Tenant-in-Common (TIC) real estate investments in conjunction with IRS 1031 exchanges greatly increased after the 2002 issuance of IRS Rev. Proc. 2002-22 which clarified issues related to... more

On April 3, 2013, USCIS and the SEC held a joint conference call to discuss what aspects of federal securities law are implicated by EB-5 Investments, as it relates to both the issuer and the... more

Recognizing Investment Losses The rules that regulate the securities industry and investment firms when they are investing other people's money and advising investors are extremely complex and... more

Both regulatory regimes require investment advisers and broker-dealers to adhere to high standards of conduct in their interactions with retail investors

The legal standards of conduct for broker-dealers and investment advisershave differing and complex histories. Both sets of standards evolved in large part underthe general antifraud provisions of... more