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Blog Posts in Securities Arbitration

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  • FINRA Investor Alert - Frontier Funds
    FINRA Investor Alert - Frontier Funds

    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 ...

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  • FINRA Investor Newsletter ~ March 2014
    FINRA Investor Newsletter ~ March 2014

    Below is the investor newsletter for March 2014. Some good information for investors trying to protect themselves and their investments. FINRA Investor News Investor Alerts Bitcoin: More than a Bit ...

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  • Initial Public Offering Investments (IPO)
    Initial Public Offering Investments (IPO)

    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 ...

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  • Custody of Your Investment Assets ~ SEC Investment Bulletin
    Custody of Your Investment Assets ~ SEC Investment Bulletin

    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 ...

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  • JPMorgan Chase Brokers Favoring Bank's Own Funds
    JPMorgan Chase Brokers Favoring Bank's Own Funds

    The NY Times published a report this week that suggest that JPMorgan Chase used its brokers to sell its own financial products even though there were better performing or cheaper options available to ...

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  • Investment Adviser Fees
    Investment Adviser Fees

    Below is a link to an interesting article about whether investment management fees are deductible. We are seeing a number of clients come to our office that have entered into management agreements for ...

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