Category: General
SEC Issues Report on Definition of Accredited Investor
On December 18, 2015 the United States Securities and Exchange Commission issued a Report on the Review of the Definition of “Accredited Investor.” The fringe market involving the sale of private placement investments to qualified investors pursuant to exemptions under Regulation D have exploded in the past ten years. Regulation D is an exception to […]
Read PostERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciaries
ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed money arrangements, and registered investment with advisory relationships have seen ERISA plan trustees tempted by sellers of these products offering commission and/or referral sharing […]
Read PostNew York State Deferred Compensation Plan Beneficiary Designation
The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan Beneficiary Designation form (Form DC-3780-1213) can be accessed at www.nysdcp.com, and information relating to participation in the Plan can […]
Read PostFaced 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 […]
Read PostAn 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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- 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