The Newly-Formed New York State Department of Financial Services

Stockbroker Law - Monday, August 01, 2011
The Newly-Formed New York State Department of Financial Services

Effective October 3, 2011, the Banking Department and the New York State Insurance Department will soon merge to become the New York State Departm ..

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Questions and Checklist Items to Consider Before Entrusting Your Monies to a Registered Investment Advisor

Stockbroker Law - Friday, May 27, 2011
Questions and Checklist Items to Consider Before Entrusting Your Monies to a Registered Investment Advisor

1. Do they carry liability insurance and fidelity bonding in the event that your account is abused or your funds are embezzled? 2. What prof ..

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Is Your Registered Investment Advisor Legit?

Stockbroker Law - Friday, May 27, 2011
Is Your Registered Investment Advisor Legit?

For the past ten years tens of thousands of stockbrokers have left brokerage firms to become independent registered investment advisors. So what& ..

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Theft of Money and Investments from an Investment Account - What to Do?

Stockbroker Law - Friday, May 27, 2011
Theft of Money and Investments from an Investment Account - What to Do?

What happens when a stockbroker or registered investment advisor steals money or securities from a customer’s account? Does this happen oft ..

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ELDER ABUSE: Baby Boomers Protecting Their Elderly Parents' Investment Accounts

Stockbroker Law - Thursday, May 12, 2011
ELDER ABUSE: Baby Boomers Protecting Their Elderly Parents' Investment Accounts

As the parents of many baby boomers are well into their 70s, 80s, and even 90s, many boomers are worried about protecting their parents’ acc ..

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