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 […]
Read PostSecurities 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 […]
Read PostNYS Retirees Fall Prey to Annuity Fraud . . .
. . . and Improper Transfer of Monies from Deferred Compensation Plans Over one million New York State retirees are participants in the New York State Deferred Compensation plan, an employee self-funded common account which supplements New York State retirees’ participation in existing New York State Pension Plan (i.e. Tier 1, Tier 2, Tier 3, Tier […]
Read PostBroker-Dealer Liability for Unlicensed Registered Investment Advisors
The past decade has seen an explosion of the number of Registered Representatives (stockbrokers) employed by brokerage firms opting to leave their employment status in the brokerage industry to become Registered Investment Advisors registered with the Securities and Exchange Commission. While many Registered Investment Advisors choose to let their securities industry licensure (FINRA/CRD) lapse, many […]
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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