Category: General
Securities Litigation
Investment fraud and stockbroker fraud takes many different shapes and forms, and most investors don’t know their rights under the Securities Laws. Wrongful trading activity in the accounts of the everyday American investor can include account churning, private placement fraud, breach of fiduciary duty, annuities fraud, stock manipulation, unauthorized trading, and embezzlement. Securities fraud also […]
Read PostSecurities Brokerage Mediation
The mediation of securities brokerage disputes is an emerging approach that has gained considerable interest over the past several years. Mediation involves the selection of a single, mutually acceptable mediator, who would devote time and experienced mediation skills towards an effort to resolving a customer dispute through intensive discussion and negotiation sessions with the clients […]
Read PostTransfer on Death (TOD) and Death Beneficiary Accounts and the Perils of DIY Estate Planning
The past decade has seen an explosive growth in the number of investors who utilize their securities brokerage accounts, both retirement-type accounts and non-retirement accounts as the centerpiece of their estate planning strategy, oftentimes without consulting competent legal counsel, as well as without following up with brokerage-specific forms available to designate death beneficiaries for these […]
Read PostA Successful Will Contest
In a Decision, dated October 13, 2022, signed by the Hon. Jennifer G. Sober, Acting Surrogate Court Judge for the Rensselaer County Surrogate’s Court, the Court ordered the striking of an earlier filed Will in favor of a subsequent Will, also dismissing claims alleging undue influence and lack of capacity associated with the Last Will […]
Read PostSEC Issues Required Investor Disclosures for Variable Annuities and Variable Life Insurance Contracts
In a press release dated March 11, 2020, the SEC announced rules, as well as the issuance of a related form associated rule amendments designed to make disclosures for investors when sold variable annuities and variable life insurance contracts. Overall, these rules require insurance companies and broker dealers involved in the sale of these products […]
Read PostHave a Question?
Quick Contact
"*" indicates required fields
Recent
Blog Posts
- Securities Litigation
- Securities Brokerage Mediation
- Transfer on Death (TOD) and Death Beneficiary Accounts and the Perils of DIY Estate Planning
- A Successful Will Contest
- SEC Issues Required Investor Disclosures for Variable Annuities and Variable Life Insurance Contracts