Posts Tagged "FINRA"

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 Newsletter ~ March 2014

Posted by on Mar 27, 2014 in News, Securities Arbitration | 0 comments

Below is the investor newsletter for March 2014.  Some good information for investors trying to protect themselves and their investments. FINRA Investor NewsInvestor Alerts Bitcoin: More than a Bit Risky FINRA is issuing this alert to caution investors that buying and using digital currencies such as Bitcoin carry risks Speculative trading in bitcoins comes with significant risk. There is also the risk of fraud related to companies claiming to offer Bitcoin payment platforms and other related products and services. via Finra We can help If you feel that you have been defrauded by or suffered...

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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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Initial Public Offering Investments (IPO)

Posted by on Jun 8, 2013 in Securities Arbitration | 0 comments

Investing in an initial public offering can be both exciting and risky.  The Securities and Exchange Commission recently posted an investor bulletin about the risks of investing in an initial public offering or IPO.  The bulletin provides lots of information regarding risks associated with investing in an IPO.  It also provides detailed information about how to use the SEC site to learn about companies that are going public. For your convenience a copy of the bulletin can be found at the bottom of this post. If you feel that you have been misled by advisers in connection with an IPO...

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Custody of Your Investment Assets ~ SEC Investment Bulletin

Posted by on Mar 4, 2013 in Securities Arbitration | 0 comments

The SEC has today issued an investor bulletin regarding the custody of your investment assets.  The bulletin provides information regarding the safeguards that have been put in place to protect investors and their assets.  The SEC has placed investment advisers on notice that they will be increasing enforcement action to ensure that investors’ accounts are protected from theft and misappropriation. Although one would think that the custody of your investment assets would be a simple issue it is really more complicated that it would seem.  Many brokerage firms have been accused of...

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