What is Short Selling? In finance, short selling (shorting, a short sale, going short) is a common method that is used to bet against a[...]
Securities & Investment FAQ
FINRA Rule 3210 Overview In April of 2016, the Securities and Exchange Commission (SEC) approved FINRA Rule 3210. The rule actually went into effect as[...]
What is FINRA Rule 2165? FINRA Rule 2165 is a rule that was passed to amend FINRA Rule 4512, which governs how financial brokers can[...]
Misrepresentation By Omission Overview In order to make an informed investment decision, you need to have access to all relevant facts and details regarding a[...]
Consumers love to shop at wholesalers. MarketWatch reports that Costco, one of the nation’s most prominent wholesale retail chains, took in nearly $120 billion in[...]
Promissory Note Fraud Overview A promissory note is a written promise that one party makes to pay another party at some point in the future.[...]
Security Exchange Commission (SEC) Complaints Overview Investment and securities fraud is a serious issue in the United States. At Sonn Law Group, our dedicated SEC[...]
Real Estate Ponzi Scheme Overview A Ponzi scheme is a type of investment fraud that attracts investors with unusually high rates of return. The fraud[...]
Understanding the FINRA Investment Suitability Rule 2111 FINRA rule 2111 requires that a registered investment advisors (RIAs) and broker-dealers must have a reasonable belief that[...]