Blog & Investigations

Our readers will recall the extensive work we have done in the areas of identifying, remedying and preventing elder financial abuse. The Money Magazine article featuring our work on behalf of a senior client, scammed out of $1 million, contained important information about…

Earlier this month, the staff of the Division of Enforcement of the United States Securities Exchange Commission (SEC) released its annual report for 2018. The report, available here, spells out for the investing public and the financial services industry the results…

Earlier this month, FINRA (the Financial Industry Regulatory Authority) announced its enforcement priorities for the coming year. The priorities will set the course for FINRA’s investigators as they inquire, examine, probe and sometimes bring enforcement actions against financial services professionals and their…

Our firm was featured in an article in Think Advisor. Subjects covered include FINRA arbitration and employment disputes, elder financial abuse, FINRA enforcement priorities, Form U5 disputes and how to handle an internal investigation. If you are an investor with questions about your…

Money Magazine article features one of our firm’s clients—a victim of elder financial abuse by an online fraudster and negligence by her trusted brokerage firm—and explains how we are helping her fight back. Article is here. The article is online today and…

Earlier this month, FINRA (the Financial Industry Regulatory Authority) announced its enforcement priorities for the coming year. The priorities will set the course for FINRA’s investigators as they inquire, examine, probe and sometimes bring enforcement actions against financial services professionals and their…

Today, I’d like to examine the very real dangers of “overconcentration” in a particular investment or industry sector. Overconcentration is best defined as an investment portfolio marked by a significant holding in a single stock, bond, note or other investment…

This week the FINRA Education Foundation released a report titled “Investors in the United States 2016.” The results, based on a sample of 2,000 investors, highlight dangerous gaps in investor knowledge that could well lead to financial disaster. An infographic accompanying the report points…

As baby boomers approach and enter retirement, securities regulators, legislators and law enforcement agencies are sharpening their focus on the growing incidence of “Elder Financial Abuse.” Having identified the threat several years ago, FINRA (the Financial Industry Regulatory Authority) recently took concrete action to…