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When you choose a broker or advisor at an investment firm to manage your portfolio, you expect your broker or advisor to manage your portfolio directly. While this is often what happens, it isn’t always the case. Sometimes, brokers and advisors will recommend that investors place their funds with outside […]
Author: Zamansky LLC
Investing in put and call options involves risks that do not apply to investing in traditional stocks and bonds. But, despite the differences between options and more-traditional securities, many brokers and advisors recommend them without explaining the unique risks involved. When this happens – and when investors suffer losses as […]
As an individual investor, you know that you should only invest money you can afford to lose, and you know you should diversify your portfolio. But, it is what you don’t know that can hurt you. Too often, investors think they are making informed decisions when in reality they are […]
As an individual investor, you may ask your broker to make certain trades for you. But, you will also rely on your broker’s advice in many cases. Good brokers will recommend trades that they believe serve their clients’ investment objectives; and, when clients accept their recommendations, they will earn a […]
As an individual investor, the ability to make informed decisions is critical to managing your portfolio effectively and minimizing your risk of loss. If you work with a stockbroker or investment advisor, you rely on your broker or advisor to provide trustworthy information that you can use to guide your […]
The Black Friday stock rout that resulted in a 900 point drop in the Dow Jones Industrial Average has exposed investors on margin. Investors with large margin balances likely received “margin calls” as their stocks plummeted quickly and steeply. While margin borrowing in a rising market tends to increase returns, […]
The U.S. Securities and Exchange Commission (SEC) has accused GPB Capital and multiple individuals affiliated with the firm of operating a $1.7 billion Ponzi scheme that victimized approximately 17,000 investors. Our firm has launched an investigation as well, and we are currently accepting cases against GPB Capital to be filed […]
What Do Investors Need to Know about the Anti-Bribery Provisions of the FCPA? The Foreign Corrupt Practices Act (FCPA) is a federal law that is designed to prevent companies and their personnel from engaging in corrupt practices when doing business with foreign companies and government entities. Key among the FCPA’s […]
As an investor, you need to make informed decisions. This applies to the decisions you make about the securities you buy and your decisions about hiring an investment broker. Unfortunately, broker fraud is a very real concern, and each year numerous investors are forced to take legal action to recoup […]
On October 5, 2021, the U.S. Securities and Exchange Commission (SEC) charged CanaFarma Hemp Products Corp. (“CanaFarma”) and its co-founders with fraudulently raising approximately $15 million from investors. The SEC also alleges that the company and its co-founders “misappropriate[ed] a significant portion of the investor funds for personal use and […]