The Investor’s Lawyer
This blawg provides practical investor education tips, information on the most common forms of stockbroker misconduct and fraud, and news updates for investor-related matters.
Author: Joel Beck is a solo practitioner in Snellville, Ga. He also authors BD Law Blog.
Blawg Related Categories: Securities Law • Solo / Small Firm
Recent Posts from The Investor’s Lawyer
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Investors Pursue Claims Regarding Schwab YieldPlus Fund
The Beck Law Firm, LLC has been engaged to represent investors against Charles Schwab and Company, Inc. who were sold shares of the Schwab YieldPlus fund. According to the arbitration claim filed in the case,…
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Investors May Recover Losses in Lehman Principal Protection Notes
Many investors were sold structured products called "principal protection notes" issued by Lehman Brothers Holdings, Inc. These products may have been unsuitable, or not appropriate, for the investor, and the risks of the product may…
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AARP and Securities Regulators Team Up Recruiting "Free Lunch" Seminar Monitors
The AARP and the North American Securities Administrators Association (NASAA),have teamed up to recruit monitors to attend "free lunch" investment seminars and report their findings back to the regulators. According to the AARP release, folks…
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SEC Charges Brokers With Fraud for Sales of Unsuitable Investments Through Refinanced Subprime Mortgages
Earlier this month, the SEC announced that it charged five World Group Securities, Inc. brokers with fraud, alleging that the brokers sold unsuitable securities, mostly variable universal life insurance products, that were paid for through…
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"I've Lost Money! Do I Have A Case?"
With the roller coaster market of this week (mostly down), folks are checking their portfolios and finding its value is down, often significantly. Even the fact that a loss is not a loss until you…
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Understanding FINRA Arbitration - Part II
In the last post on this topic, I provided information about FINRA, the sponsor of the securities industry arbitration program, and noted that most investors are forced to arbitrate their disputes with a stockbroker and…
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FINRA Issues Investor Alert Providing Information on What Happens When a Firm Closes
FINRA recently issued an investor alert providing investors with information about what happens when a brokerage firm closes its doors. In this time of economic uncertainty that many feel, as well as a time of…
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Report Shows Banks May Not Be Compliant with Identity Theft Rules
In an article appearing in the Atlanta Business Chronicle last week,the TowerGroup report on bank compliance with identity theft rules, set to take effect on November 1st, found that most banks will not be in…
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Understanding FINRA Arbitration - Part I
When investors are harmed by some type of stockbroker misconduct or fraud, they're often surprised to learn that arbitration is typically required to resolve the dispute, and that they can't get their family lawyer to…
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SEC to Host Senior Investing Summit
The SEC announced another summit geared towards senior investing issues, to be held in Washington, DC on September 22, 2008. According to Chairman Cox, the focus of the summit will be to help seniors "make…