Written by Avvo Staff, almost 4 years ago.
Financial markets such as the NASDAQ stock exchange provide a forum for shares of stock in public companies to be sold or traded. Financial markets or securities law strictly regulates these... more
Written by attorney Jon Jackson, about 3 years ago.
Times are difficult. We’re all experiencing difficult economic times. More than ever, careful financial planning and smart decisions will help you and your family survive this turbulent fiscal... more
Written by attorney Robert Savage, about 3 years ago.
Check out the broker and his brokerage firm.. You can look up any securities broker by going to the FINRA website at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm. Or you... more
Written by attorney Robert Savage, about 3 years ago.
Unsuitable Trades?. It is the broker’s responsibility to make sure that he or she understands what is suitability for your investments. Stockbrokers and investment advisors must have a reasonable... more
Written by attorney Edgardo Baez, about 3 years ago.
Contact a reputable law firm with experience on the subject. This step is important since there are many entities out there ready to defraud people out of their money. We have helped many individual... more
Written by attorney Ryan Smith, over 2 years ago. STAFF PICK
There is little question that the events in 2008 continue to have a profound effect on the securities markets. The major market indexes - the Dow Jones Industrial Average, SP 500, NASDAQ, etc. -... more
Written by attorney Howard Roitman, over 2 years ago.
Claims of quick profits & offers to share “inside information,” are Red Flags. Some investments make money. Others lose money. That’s natural, and that’s why you need a diversified portfolio to... more
Written by attorney Adam Savett, over 2 years ago.
Determining Eligibility. In order to file and perfect a claim in most securities class action settlements, an institution will first need to determine whether they are eligible to participate in the... more
Written by attorney Robert Brighton, almost 2 years ago.
Sometime in July, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), a sweeping regulatory reform bill, will become law. Dodd-Frank is intended to address perceived... more
Written by attorney Alan Brinkmeier, almost 2 years ago.
Sample Written Revocation. Make sure to do the revocation in writing. Here is a form I have used ...... Revocation of Power of Attorney I hereby give notice to (Agent listed in Power of Attorney)... more
