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Blog, Securities Fraud

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...

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Blog, Securities Fraud

Important Things to Know about B Share Mutual Funds

There has been quite a bit of controversy surrounding Class B share mutual funds in the last few years. The NASD and SEC are taking a very...

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Blog, Securities Fraud

Brokerage Firms in Boca Raton, Florida

The following is a list of some of the securities brokerage firms or broker dealers registered with FINRA that are located in Boca Raton,...

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Blog, Securities Fraud

Investors duped by fraud may be able to get tax relief

As reported in the Sun Sentinel, and according to tax attorney Richard S. Lehman, investors duped by fraud can get some relief —...

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Blog, Securities Fraud

FINRA Proposes Improving BrokerCheck

FINRA, the financial industry’s self-regulating watchdog, has proposed that the organization’s central database for providing...

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