Tag: Chicago securities attorney
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...
Financial Fraud Often Aimed at Seniors
According to Jennifer Levitz’s May 19, 2009 article in the Wall Street Journal, “Laws Take on Financial Scams Against Seniors,”...
Wall Street Firms Still Preoccupied with Big Sales
Lest you believe that Wall Street has changed its stripes, and is now in the business of financial advising and consulting rather than...
Brokers must Disclose Customer Complaints
Regulators Require Brokerage Firms to Provide More Public Disclosure Regarding Customer Complaints On May 13, 2009, the U.S. Securities and...
