Securities Litigation

FINRA Investor Alert – Frontier Funds

Posted by on Oct 25, 2014 in Securities Arbitration, Securities Litigation | 0 comments

FINRA has issued an Investor Alert for frontier funds.  These funds target investments in developing countries with undeveloped securities markets.  Some of those countries include Argentina, Lebanon and Nigeria.  FINRA is concerned that investors may or may not realize the risks of investing in those types of markets.  According to FINRA, many of these developing markets may not have the legal, accounting and regulations that investors may otherwise have experienced.  As such, those types of investments should be considered carefully before moving forward. Read the entire article by...

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FINRA Investor Alert – Marijuana Stock Scams

Posted by on May 17, 2014 in Securities Litigation | 0 comments

FINRA has recently issued a FINRA investor alert for marijuana stock scams regarding recent investor interest in marijuana related companies.  Apparently both the SEC and FINRA have recently been seeing investor interest in these companies with an increase in trading of certain securities. FINRA is also recognizing that, as with many new investment opportunities, there has been an increased number of potential scams being discovered. If you have been approached to invest in a marijuana related investment it would be a good idea to consult the information in this investor alert. Investor...

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FINRA Investor Newsletter ~ April 2014

Posted by on Apr 26, 2014 in Securities Litigation | 0 comments

Below is the FINRA investor newsletter for April 2014.  Some good information for investors trying to protect themselves and their investments. Investor News Newsletter–April 2014 – FINRA We can help If you feel that you have been defrauded by or suffered harm because of an investment adviser, the securities arbitration  attorneys of Penzien & McBride, PLLC would be happy to assist you.   You can reach us by calling our office at (586) 464-1900....

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Information for Stock Buyers ~ FINRA Investors Bulletin

Posted by on Dec 1, 2013 in Estate Planning, Securities Litigation | 0 comments

FINRA has recently issued an investors bulletin containing information for stock buyers.  In the bulletin, FINRA suggests that stock investors should be using all of the information resources available to research the stocks they are looking at. Information for Stock Buyers FINRA recommends that stock buyers review, at a minimum, the following sources of information that is readily available. Research the company ~ For current information about a company check out the SEC’s EDGAR database. Find out where the stock trades ~ By looking at the exchange requirements an investor can get an...

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Securities Arbitration – What is it?

Posted by on Nov 22, 2010 in Securities Litigation | 0 comments

This is the second in a series of posts regarding securities arbitration. The first question many clients ask when they are told that their dispute is going to be handled in arbitration is what does that mean. Simply put, arbitration is a private method of resolving disputes that is outside of a traditional court system. Early on arbitration was created as an alternative to having disputes handled in a public court. As originally conceived, the arbitration process was viewed as a faster, private and, perhaps most importantly, a more economical process than going to court. As the law has...

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Securities Arbitration – A Guide

Posted by on Sep 26, 2010 in Litigation, Securities Litigation | 0 comments

This is the first in a series of posts regarding Securities Arbitrations. Through this series we hope to provide information regarding when an arbitration proceeding is necessary, the types of cases that are presented in an arbitration, the various steps necessary to bring an arbitration action and the enforceability of any award that might result from an arbitration proceeding. After reading through this series of posts, it is our hope that the reader will have a better understanding regarding the process and the costs involved in bringing this type of an action. If you believe that you...

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