Legal Blog

Imagine that you’re a retired investor looking to increase the returns on your portfolio. Now imagine that your advisor – a person you trust to guide some of your largest financial decisions – approaches you with a suggestion to invest approximately $78,000 in a...

Cryptocurrency is a digital, decentralized form of currency that uses encryption (hence the prefix “crypto-”) to give users more privacy than transactions conducted using checks, credit cards, or debit cards. This partial anonymity – combined with massive increases in...

The Financial Industry Regulatory Authority (FINRA) writes rules and regulations for financial industry professionals and has numerous tools to try to prevent vulnerable investors from facing financial harm. In many cases, these tools work preemptively to keep...

Brokerage firms and investment advisors are expected to help investors make sound financial decisions that align with the investor’s goals, risk tolerance, and background. Unfortunately, some brokers abuse their positions to further their own financial aims. Too...

If your investments were ruined or you lost money because of negligent financial advising or fraudulent investments, you may be able to file a claim against your stockbroker or financial advisor.  In some cases, you may be able to file a conventional lawsuit in court,...

“Discovery” is a key component of all legal disputes.  Whether you take your case to arbitration or file it in court, you have access to records and evidence that the other side has in their possession.  You may also get the power to ask questions or bring the other...