Month: December 2013

Functional Fiduciary Liability Under ERISA

There are over one million ERISA-qualified pension plans in the United States, including two hundred thousand defined benefit plans.  At one time, defined benefits plans were the predominant vehicle for employer-funded employee retirement plans until the emergence of the defined contribution plan, also known as 401K plans. Defined benefit plans, due to punitive aspects of […]

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Faced with Investment Losses Due to Financial Advisor Misconduct or Negligence? —An Investment Fraud Attorney Can Counsel You and Help Get Rightful Compensation

When you set up an account with a financial advisor, you essentially make a pledge to trust him or her to make the right decisions regarding your monies and investments. In a perfect world, your advisor will enable you to improve and expand your portfolio and you will never need the services of a securities […]

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An Investment Fraud Attorney Can Help If you Suffered Financial Fraud —Know Your Rights in Seeking Compensation and Justice for Your Loss

When you find that you have been a victim of financial fraud, you are likely to experience a range of emotions. Stress, anger, embarrassment and distrust are some of the common emotions, followed by the worry that you may never see your hard earned money again. But as a victim of financial fraud, you do […]

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Assets in IRA Accounts Top 5.7 Trillion Dollars at the End of March, 2013

The United States Department of Labor has indicated that a large percentage of assets in Individual Retirement Accounts in the United States are derived from rollovers of assets and monies from 401(k) and other employer-sponsored retirement plans.  In addition to the 5.7 trillion dollars in IRA accounts, the United States Labor Department statistics indicate that […]

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Securities Brokers Can Now Completely Wipe Their Public Records Clean −Securities Fraud Lawyer Explains What This Means For You and Your Business

Do you trust your securities broker? If you’ve invested your retirement accounts, life savings or business funds with your broker, the answer is an obvious ‘yes’. And maybe your trust is well-founded because: a) the broker works for a reputed financial institution b) you have done all your background checks and the broker’s public records […]

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