Category Archives: Securities Arbitration
Has the Coronavirus Pandemic Led to Substantial Losses in Your Investment Accounts? What You Need to Know to Protect Yourself Against Further Losses
The coronavirus pandemic has jeopardized the health and lives of millions of people across the world and it is difficult to predict when we will resume our traditional way of life. The pandemic also likely has affected the bottom line in your investment and retirement accounts — and not for the better. What many… Read More »
Before You Invest
You’ve worked hard for your savings. Before you entrust it to someone to invest, take the time to do your homework. Even if you have been investing for many years, every investment deserves scrutiny. Check out the players Just because a broker or investment adviser is charming and friendly doesn’t mean he or she… Read More »
Have Something in Common? Doesn’t Mean the Investment He or She is Pitching is Real.
As attorneys who represent investors who have lost money to fraudulent investments, the one thing all of our clients agree upon is that their investment advisor “seemed like a really great guy/gal”. The old adage “you can catch more flies with honey than vinegar” is correct. Fraudsters know how to turn on the charm…. Read More »
A Slight Expansion in Liability Under Federal Securities Laws
Do you ever copy-and-paste a statement without thinking twice of the implications? The United States Supreme Court recently expanded the reach of federal securities laws and who can be held liable for violating them. In Lorenzo v. Securities and Exchange Commission, 139 S. Ct. 1094 (2019), the Court held that a person can be… Read More »
Florida Securities Arbitration: Tips for Investors
You work hard for your salary and invest what you can for your retirement one day. You certainly don’t want to lose your life-savings to some unscrupulous financial advisor. There are numerous situations that can cause you to lose your investments as well — such as a broker who recommends unsuitable investments, engages in… Read More »
Securities Arbitration in Florida
If a registered securities broker-dealer or financial advisor has mismanaged your financial assets through a breach of duty or industry standards, and has caused you to suffer losses, you may be interested in exploring avenues of legal recourse. Securities-arbitration claims with a registered firm, however, are not resolved through litigation in court, but rather… Read More »
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 »
SEC Warns Investors to Watch Out for Potential Scams
The Securities and Exchange Commission regularly issues alerts on potential scams and fraudulent activities that investors should be mindful of. Some of these may target certain types of investors or funds, or in one case, someone may be pretending to work for the SEC itself. Here’s a look at some of the investor alerts… 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 »