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& ..

Read More

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 ..

Read More

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 ..

Read More

Educational Trusts, Family Trusts, and the Prudent Investor Act

Stockbroker Law - Tuesday, May 10, 2011
Educational Trusts, Family Trusts, and the Prudent Investor Act

Educational Trusts and Family Trusts in New York State are governed by the Prudent Investor Guidelines under §11-2.3 of the Estates, Powers a ..

Read More

Margin Trading is Inappropriate for Most Investors

Stockbroker Law - Tuesday, May 10, 2011
Margin Trading is Inappropriate for Most Investors

Our law offices have handled a number of matters involving financial advisors who have convinced inexperienced and unsophisticated investors witho ..

Read More

Recent

Blog Posts

Blog Post

Archive

Investment & Broker
Misconduct

Investment Misconduct

Whistleblowers
 

Whistleblowers

Private Company
Disputes

Private Company Disputes

Personal
Injury

Personal Injury