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Tag: investment fraud attorney

Blog, Securities Fraud Articles

What is a Mini-Tender Offer?

Understanding Mini-Tender Offers   According to the Securities and Exchange Commission, “Mini-tender” offers involve tender...

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Blog, Securities Fraud Articles

Brokerage Firm Best Execution Requirements

What is the FINRA Rule 5310 Best Execution Rule?  FINRA Rule 5310 is a regulation created by the Financial Industry Regulatory Authority...

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Blog, Securities Fraud Articles

Social Media Apps & Investment Fraud Schemes 

How to Prevent becoming a victim of a Social Media Scam  According to Investment News this week, the potential misuse of social media...

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Blog, Securities Fraud Articles

Protecting Investors from Misconduct, FINRA releases FAQ on Rule 4111

FINRA releases FAQ on Rule 4111, Restricted Firm Rule  The Financial Industry Regulatory Authority has released frequently asked questions...

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Blog, Securities Fraud Articles

Tenants-in-Common (TIC) Sponsor List

TIC Real Estate Investments – Investigating Securities Claims One of the most common types of securities fraud cases right now...

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Blog

FINRA: Older U.S. Investors may Engage in Financial Risk Taking

FINRA Foundation Study says that Overconfidence may lead to Risky Financial Decisions. According to a recent study, overconfidence in...

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