A registered investment advisor (RIA) is an individual (or broker-dealer) that provides commercial investment advisory services and that is properly registered with either the Securities[...]
Basics
Were you a victim of investment fraud? If you were, and you sustained significant financial losses, you need to take action to recover the fair[...]
For many investors, putting money into real estate feels safer than putting it into stocks. In the eyes of some, securities seemingly exist only on[...]
In general, legal damages are designed to be ‘compensatory’ in nature. This means that victims are entitled to seek a financial recovery that is equivalent[...]
All stockbrokers (also frequently referred to as a ‘financial advisors’, ‘investment advisors’, or simply as ‘brokers’) have fiduciary obligations to their clients. A fiduciary duty[...]
When you open up a new account with a brokerage firm, one of the first things you need to know is whether your account is[...]
Often, people use the terms ‘Ponzi scheme’ and ‘pyramid scheme’ interchangeably. This is certainly understandable, as these two forms of investment fraud share key features.[...]
In the United States, a financial broker must obtain a license before they can legally sell securities. Likewise, a brokerage firm must be properly licensed[...]
In some cases, investment fraud claims are straightforward. For example, there may be overwhelming evidence that proves that a financial advisor fabricated documents, forged their[...]
A statute of limitations set a deadline for when legal action must be taken in relation to a particular offense. Depending on the case or[...]