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When investing on your own, it is important to do your research. All investments carry risk; and, as an individual investor, it is up to you to make sure your decisions are as informed as possible. Increasingly, individual investors are relying on social media as a primary source of information. […]
If you’ve been following the media coverage of investor claims related to UBS yield enhancement strategy (YES) losses, you may have read that UBS prevailed in a couple of FINRA arbitration proceedings late last year. While this is the case, scores of claims against UBS and its brokers are continuing […]
In February 2021, the U.S. Securities and Exchange Commission (SEC) announced charges against multiple individuals and entities related to an alleged “Ponzi-like scheme” that raised approximately $1.7 billion from more than 17,000 individual investors. Here, financial fraud attorney Jake Zamansky discusses the allegations and the steps that investors can take […]
A Financial Industry Regulatory Authority (FINRA) arbitration panel recently awarded $19 million to a 94-year-old investor based on findings of abuse of fiduciary duty, fraudulent misrepresentations, and elder financial fraud. The investor, Beverly Schottenstein, filed claims against JP Morgan Securities and two of its now-former brokers who – notably – […]
Even if you don’t closely follow the stock market, you almost certainly heard about the Reddit-fueled GameStop stock rally in January 2021. After trading well under $20 per share throughout 2020, the company’s share price spiked to nearly $350 before settling back down in the $40 range (before rallying again […]
The Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC) regularly issue alerts warning of investment scams targeting seniors. Sadly, unscrupulous brokers, advisors and scam artists tend to target those who are most vulnerable, and this includes senior citizens who might not necessarily have the tools […]
Microcap investing has seen a surge in popularity over the past year. This is likely attributable to the combination of two factors: (i) the introduction of investing apps marketed to individuals who are interested in testing the waters of investing on their own, and (ii) the COVID-19 pandemic, which has […]
You invested your money, but your investment didn’t pan out. Maybe you lost your principal, or maybe you built up a sizable portfolio only to watch it come crashing down. Regardless, you’ve lost a lot, and you are wondering: Are you a victim of bad luck? Or, could you be […]
On December 1, 2020, the U.S. Securities and Exchange Commission (SEC) announced charges against an individual in New York who is accused of running a fraudulent boiler room targeting retail investors. According to the SEC’s press release, the individual, “raised approximately $2.1 million from at least 71 retail investors and […]
Whether it is your New Year’s resolution to start investing or you are hoping to grow your existing portfolio in 2021, it is important to make sure that you invest safely. With this in mind, here are five tips from our investment fraud attorneys for individuals who are planning to […]