Category Archives: Investments
Protecting Yourself from Unregistered Security Entities
As an investor, it’s important to protect yourself against investment scams and unregistered securities. At Rabin Kammerer Johnson, , we have experience in representing investors and other members of the public against securities brokerage firms, broker-dealers, and registered investment advisors which have mismanaged investor funds. If you are investing on your own, you also… Read More »
Recovery Checklist for Investment Fraud Victims
Each year in the United States, a number of investors become unsuspecting victims of fraudulent investment schemes and various securities law violations. There are some instances where investors may be eligible to receive funds recovered from the fraudsters. There are a number of SEC protections that help investors, but not everyone will be able… Read More »
What to Know about Investing in Municipal Bonds
If you’re considering different investment options, municipal bonds may be a viable option. Municipal bonds can be worthwhile if you’re looking for tax-free income streams while preserving capital. What are Municipal Bonds? Often called “munis” for short, municipal bonds are issued by various government entities and U.S. territories. There are two varieties of municipal… Read More »
I Inherited an IRA Account. Now What?
The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend. You have more options if you inherited the IRA account from your spouse. If you inherited an IRA from your spouse, you can: Treat… Read More »
What are the pros and cons of taking a 401K loan?
Many employers provide 401k plans for their employees. A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account. Some, but not all, 401k plans permit employees to take out a loan against the… Read More »
Tips for Protecting Your Investments
It’s your money. You worked hard to earn it. It’s taken years to save it. Now you need to protect it. Here are some tips to help you make more informed investment choices and protect yourself from investment scams. Check out the “salesperson.” Just because someone says they have a securities license doesn’t mean… Read More »
Is Anybody Watching Your Broker?
The financial industry is highly regulated, and for good reason. People entrust their stockbrokers and financial planners with some of the most important decisions in their lives, namely, what to do with their hard earned life savings. Money is important, and especially for the elderly and retired, it cannot always be replaced. If money… Read More »
Options 101: The Basics of Trading Stock Options
What Does it Mean to Trade Stock Options? Options are complex investments and can carry substantial risk. Before you decide to trade options, you should understand the basics. Options can be used with a wide range of financial products. This blog will focus on the most vanilla of examples, trading stock options. What are… Read More »
Equity Compensation: Not Just for CEOs Anymore
Securities Fraud Lawyer Explains: Equity Compensation is Not Just for CEOs Anymore Equity compensation, also known as a stock award, is a form of non-cash compensation that represents ownership in a company. If the company does well and the value of its stock goes up, the future value of the stock award could be… Read More »
Broker Obligations When Selling Municipal Bonds
When Selling Municipal Bonds What are the Broker’s Obligations Many brokers and customers mistakenly believe that municipal bonds are always a “safe” place to be. The recent debacle in Puerto Rico proves this is not the case. The law imposes special obligations upon brokers who sell municipal bonds. First, the broker must thoroughly research… Read More »