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Investors in the United States have clear legal rights. State and federal securities laws heavily regulate companies’ and brokerage firms’ conduct, and these laws give investors the right to take legal action when they fall victim to fraud. As an investor, it is important to know your legal rights—and when […]
Penny stocks are high-risk investments that can leave retail investors facing significant losses. So, why do so many people invest in them? This is a question I was recently asked to answer for a documentary on CNBC. The documentary discusses the risks associated with penny stocks (including “meme stocks” like […]
It is telling that a recent article about exchange-traded funds (ETFs) and other exchange-traded products (ETPs) on the Financial Industry Regulatory Authority’s (FINRA) website is accompanied by a picture of a rollercoaster. As FINRA notes, while ETFs and other ETPs have surged in popularity in recent years, “[e]asy as it […]
One of the most common mistakes investors make is putting their money in without taking the time to fully research the securities or other assets in which they are investing. State and federal securities laws require publicly-traded companies, brokerage firms and other entities to make multiple types of disclosures—and these […]
The GWG L bond saga continues. In our last update, we discussed GWG’s bankruptcy filing and a Wall Street Journal article that highlighted some of the issues underlying potential claims against GWG and firms such as Emerson Equity that sold GWG’s L bonds to unsuspecting investors. In April, a federal […]
As an investor, you have enough to worry about without wondering if your stock broker or investment advisor is taking advantage of you. Unfortunately, this is a very real concern, as unscrupulous brokers and advisors will often use their control over investors’ funds to profit at their customers’ expense. What […]
It has been more than a century since Charles Ponzi was arrested for conducting the scheme that now bears his name. Yet, Ponzi schemes remain a very real concern for investors, and each year investors lose untold millions in schemes perpetrated by scam artists and unwittingly recommended by their brokers […]
If you invest, there is a risk that you will fall victim to fraud. Investment fraud is pervasive, and fraudulent schemes can take many different forms. Whether you invest on your own, with a broker or investment advisor, or through a retirement plan, it is important to be aware of […]
As an investor, you want to maximize your returns. This is the whole point of investing, and the more your investments yield, the more comfortably you can live in retirement. But, when investing, it is important to have realistic expectations. There are no guarantees, and while individual investments may occasionally […]
When you invest with a brokerage firm, you expect the firm to last. You expect it to help you grow an investment portfolio that will allow you to live comfortably in retirement, and you expect it to be there to help you manage your funds in retirement when the time […]