Written by attorney Christopher Vernon, 9 months ago.
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
Written by Avvo Staff, about 4 years ago.
White collar crime defines a criminal activity committed without using violence. Examples include insider trading, insurance fraud, tax fraud, securities and investment fraud, and identity theft. If... more
Written by attorney Joel Ewusiak, 11 months ago.
Individuals often ask whether they have a claim against their broker or advisor in connection with the sale or purchase of an investment. Although each case is fact-specific and based upon the... more
Written by attorney Eric Lechtzin, over 1 year ago.
What is the Dodd-Frank Act Whistle-Blower law?. Under the new law, entitled “Securities Whistle-Blower Incentives and Protection,” when information from the whistle-blower leads to a settlement, the... more
Written by attorney Matthew Miller, about 1 month ago.
Any offer that sounds too good to be true, usually is. High-pressure sales tactics. A "guaranteed" investment or an investment without risk. Significantly higher-than-average returns.... more
Written by attorney Eduardo Suarez, over 3 years ago. STAFF PICK
Introduction. Given the recent failures of some of America’s largest financial institutions, it is possible that we may see an increase in the number of mortgage fraud investigations initiated by... more
Written by attorney Wayne Payne, about 1 month ago.
Many farmers are finding themselves in serious trouble lately with what is known as Federal Crop Insurance Fraud.This federal crime punishes the following conduct:to knowingly make false statements... more
Written by attorney Debra Speyer, over 3 years ago.
The Arbitration Clause. At first glance, some investors may not notice the arbitration clause in their new account form. All brokerage firms insist that this form be signed before they will accept... more
Written by attorney Jon Forehand, about 3 years ago.
Determine if you qualify for relief. The safe harbor provision can be used only by a qualified investor in a taxable account, not a tax deferred account, where a lead figure was charged under... more
Written by attorney Ryan Smith, over 2 years ago.
Obtain FINRA's BrokerCheck report on the financial professional. BrokerCheck contains valuable information about current and former FINRA-registered brokerage firms and their registered... more
