When the market gets rough and recession fears spike, investors may believe losses are inevitable. While this can be true, especially in the recent market downturn, there are steps you and your broker or advisor can take to properly allocate your investment portfolio to best position your finances to survive…
Communication via personal text messages or personal email could be a major warning sign that your stockbroker or investment advisor is engaging in investment and securities fraud. While not all uses of personal devices for broker-client contact are cause for concern, these messages are often difficult to regulators and firms…
Stockbrokers and investment advisors are trusted financial professionals. However, as they say, there is a bad apple in every barrel. And if you’ve been watching the news over recent months, the finance industry certainly has its share of bad apples when it comes to investment and securities fraud. But how…
Stockbrokers and financial advisors occupy a place of trust. And, in most cases, a client’s trust in their financial advisor is well-placed. However, perhaps more often than most people realize, stockbrokers and financial advisors engage in illegal conduct specifically intended to enrich themselves at their clients’ expense. This is exactly…
Over the past decade, cryptocurrency has been all the rage. It all started with Bitcoin, which was created back in 2008. However, since then, the number of cryptocurrencies has grown significantly, as have the ways that investors can purchase these assets. Cryptocurrency was initially met with skeptical eyes across the…
From Bryan Forman, Forman Law Firm, P. C.–In an effort to provide our readers with unique perspective of other professionals in the world of investments and securities regulation, arbitration, and litigation, I will occasionally invite friends, colleagues, and other experts to publish a blog piece from their unique perspective. If…
As I sit here on a Sunday afternoon, listening to some tunes and wondering what will be the ripple effect of these strange times, particularly for the retail investor who has enjoyed an 11 year run of a bull market, I for some reason thought of The Clash’s “Should I…
How Margin Risk Can Devastate a Brokerage Account. WAAAAY BACK in January of 2018, I blogged about how trading on margin, even in a prolonged bull market, can have devastating results if (when) the markets dramatically decline. See, “Investing On Margin—Will Your Chickens Come Home to Roost?” I was concerned…
Austin, Texas Investor Wins $ 2.8 Million in Arbitration on Claims Under The Texas Securities Act Investors in Private Offerings in Texas Have Substantial Tools At Their Disposal Through the Texas Securities Act (TSA). In February of 2018, we posted a piece about how the Texas Securities Act was a…
Financial Exploitation of Elders – What You Need to Know Due to age and the impairments that accompany it, our elderly population is, unfortunately, at a high risk of being taken advantage of financially. Elderly investors are vulnerable to financial exploitation and investment fraud due to a general desire to…