Skip to Content
If you work with a stockbroker, one of your main reasons for doing so is probably so that you can rely on your broker’s trading advice. Stockbrokers watch the market constantly, and they have the insights and tools needed to make informed predictions about how stocks and other securities are […]
As a retail investor, you rely on your stockbroker to provide the information you need to make informed investment decisions. You rely on your stockbroker to provide information that is not only accurate but also complete. If you don’t receive all of the information you need, you might not be […]
The U.S. Securities Exchange Commission (SEC) is tasked with enforcing the nation’s securities laws, and it routinely opens investigations into brokerage firms and other entities. It announces many of these investigations in Press Releases published on its website, and it maintains a running list of civil lawsuits filed as a […]
As an investor in the United States, you have clear legal rights. There are several laws, rules and regulations that protect you, and you can use these protections to pursue a claim for damages when you suffer fraudulent investment losses. Different laws, rules and regulations apply in different circumstances, and […]
The U.S. Securities and Exchange Commission (SEC) recently issued an Investor Alert warning of the fraud risks associated with self-directed IRAs. Unlike a more-traditional IRAs, self-directed IRAs allow retirement investors to make their own decisions about how to invest their life savings. As the SEC notes, “[c]ustodians for self-directed IRAs […]
Sometimes, brokers get it wrong. They do their research, review their client’s portfolio and investment objectives, and make informed investment recommendations that lead to investment losses. This happens, and it reflects the fact that no one can predict the market with absolute certainty. But, sometimes, a broker’s bad investment advice […]
From bank failures to fraud perpetrated by major brokerage firms like Merrill Lynch and Morgan Stanley, retail investors have a lot to be worried about in 2023. Unfortunately, even if you invest with a broker or investment advisor, you are not immune from the risks of investing. Negligence, unsuitable investment […]
The recent failure of Silicon Valley Bank has sent shockwaves through the banking industry and left many investors questioning the safety of their bank stocks. As a securities lawyer with 30+ years of experience, Jake Zamansky understands the concerns of investors. The Silicon Valley Bank failure impacts current bank stocks, […]
As we recently discussed, our firm is actively investigating potential claims for investment fraud related to the overconcentration of investors’ portfolios in bank and financial stocks. With the collapse of Silicon Valley Bank, several other bank and financial stocks were hit hard as well, and our preliminary investigations have revealed […]
Many people open brokerage accounts on platforms like E-Trade, only to quickly find themselves in well over their heads. While commercials and social media influencers make investing on your own look easy, the reality is that managing a profitable investment portfolio is anything but. Many people suffer substantial losses investing […]