Author: D. Daxton White
Does a Financial Advisor owe the Client a Fiduciary Duty?
Whether a financial advisor has a fiduciary duty to the investor has always been a hot buttom point of contention in many securities...
Why is my broker pushing penny stocks?
One increasingly common type of securities fraud is the so-called “Microcap stock fraud.” The microcap stock fraud is a form of...
Establishing a Misrepresentation Claim
While many people believe that they have been the victim of a securities fraud, the lawyer’s challenge is proving that claim to an...
Top 10 Investment Scams
As established by the Washington State Department of Financial Institutions, the following are 10 of the most common types of investment...
How to Stop a Broker from Cold-calling?
Stop the Cold Calling High-pressure sales calls (sometimes referred to as cold-calling) have been occurring in the securities industry for...
