Securities Lawyer Archives - Page 111 of 112

August 11, 2009

The Florida Securities Act (Florida Statute Chapter 517) The Florida securities laws are administered by the Florida Department of Banking...

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August 5, 2009

In June 2009, FINRA announced that Frances Ann Reams, then employed with Wachovia Securities, LLC in Roanoke, Virginia, had been suspended...

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July 21, 2009

According to Public Opinion Online (http://www.publicopiniononline.com/ci_12848083), a Florida man is accused of cheating local Florida...

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June 16, 2009

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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June 10, 2009

Typically, with an L-Share annuity, you will pay a higher mortality, expense and administration (MEA) fee and likely get a lower return....

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June 7, 2009

Oppenheimer Funds’ 529 Plans are facing complaints amid allegations of mismanagement of its college education funds. The State of...

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