Securities Fraud Lawyer BlogYour Invitation to Our Blog.
The Securities Fraud Lawyer Blog is written and published by Bryan Forman at the Forman Law Firm, P. C. In our blog, we highlight some of the developments in the financial services industry, mostly regarding stock brokers, registered investment advisors, public investors, and others that are involved in raising money, giving money to others to invest, investing money for others, and those that invest on their own and without the help of a registered professional. We also highlight what happens when the regulators (FINRA, SEC, CFTC, MSRB, et al) get involved in their efforts to protect the public investor and enforce the securities laws. We sometimes offer comment and insight into various FINRA awards, regulatory decisions, and the rule-making process. And we will provide some basic legal analysis of issues which arise in the industry. We think we have something for everyone involved in this industry, or even those that just want to keep abreast of this arcane, very important, and sometimes bizarre industry.
For Stockbrokers, Registered Investment Advisers, Compliance Officers, and Other Financial Professionals.
If you are in the business of managing someone else’s money, making recommendations how someone should invest their money, preparing financial plans for clients, manage or supervise those folks, or work in some other capacity for a broker dealer or investment advisory firm, our content will give you some insight into what is happening in your industry, what you can maybe do better in your particular role, and what you probably shouldn’t do if you want to avoid consequences from your old employer and/or your new employer, your customers, claimants’ attorneys, and the regulators, and otherwise give you some perspective from a solo attorney practicing law in the industry. As a financial professional, you are often the first person to learn that a new client has been severely mistreated in a prior relationship, and we frequently get referrals from brokers and advisers. By properly informing your client, we believe you are serving their best interests and protecting their financial interests. We want your readership and opinions, as they will benefit the blog and all that read it.
For the Retail Investor, Institutional Investor, and Those That Invest Their Money in Private Deals.
I will spend a lot of time talking to the retail investor, not about how to invest, or what to invest in, but how to be a better customer by being more informed and your rights and responsibilities, and the rights and responsibilities of the financial professionals, and what to do if something gives you a reason to be concerned. We will offer information and education about the nature of wrongdoing experienced by retail investors, when they should be entitled to recover their losses and damages, and how they can go about seeking a recovery. We will look at various arbitration awards and regulatory and enforcement actions, all of which tend to highlight a financial professional’s wrongdoing. For the retail investor, we want to provide some portal to a greater understanding of your rights against a financial professional when you may have been done wrong, how you might pursue a recovery, and also your responsibilities as an investor so that maybe you can avoid the latter situation.
For the Attorney, CPA, Trustee and Others That May Be Involved With Investors and/or Financial Professionals.
The world of securities regulation is often bewildering to those that don’t tread in these waters every day, yet many of your clients are investors or financial professionals. The rules are arcane, State and Federal regulations often contradict, and disputes are resolved according to the arcane rules, and more importantly, the customs, of the Financial Industry Regulatory Authority. As an attorney, accountant, trustee or other professional providing services to someone in the business, or by representing someone that is simply an investor, you will better serve your clients by having some insight into the rights, responsibilities, and duties underlying securities regulation, and the litigation and arbitration that ensues. Of course, the same can be said for any niche practice of law, but if you have ever wished you knew more about this area before, maybe subscribing to a somewhat focused blog will provide some information, education, and at least my perspective from my practice and studies. We frequently receive referrals from many attorneys, CPAs, experts, and mediators, and always appreciate the relationship.
In summary, we humbly invite you to subscribe to our blog. If it becomes uninteresting, uninformative, or imposes on your daily grind, we will remove you from the list.
Thank you for reading.
Bryan