Florida Securities Law Blog

Can you recover assets lost to investor fraud?

Part of preparing for your and your family’s futures may involve investing. Like others who entrust their investments to brokers or brokerage firms, you may depend on your advisor to guide you and look out for your finances. If your broker defrauds you, costing you...

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Promissory note fraud: What can you look out for?

As you are likely aware of, a promissory note is essentially an “IOU” that a company gives you in return for your monetary investment. The company has X number of years to repay the loan, plus interest.  Promissory notes can be viable investment strategies, until they...

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What is selling away as it relates to securities?

If you know that your broker’s investment firm backs the advice and investment decisions of your broker, you naturally feel more confident about the actions of your broker. But in some situations, investors find out that their brokers are acting independently of their...

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Does FINRA have an appeals process?

As someone who works as an investor, you probably understand the risks to your career if you fall under the accusation of violating securities laws or FINRA regulations. If you end up in this difficult situation, know that you can contest allegations of violating...

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Understanding the arbitration process

As an investor, you know you are taking some risks, but you expect your broker to play by the rules. If you need to take legal action against an individual or firm, court litigation is not the only option. Arbitration is an alternative method for dispute resolution....

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3 warning signs of unauthorized trading

When you work with a broker, you want his or her guidance on your investments, and you also want to authorize any transactions made on your behalf. But some brokers conduct transactions without the prior authorization of their clients. According to the U.S. Securities...

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