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Continued Market Chaos May Lead to Innumerable Investor Claims

March 12, 2020 Blog

Recently, we’ve all seen an uptick in market volatility in relation to the coronavirus pandemic. In general, everyone is concerned about what the pandemic means for them personally and financially. But investors, in particular, are appropriately concerned about what it all means for their portfolios. Were investors advised appropriately? Were […]

Investors Caught in the Wild Winds of Volatility

March 10, 2020 Blog

The Stock Market Is Wildly Gyrating Volatility May Be the New Normal Retail Investors Should Diversify Mom and Pop investors should be prepared to see the value of their hard-earned retirement accounts continue to gyrate wildly in the days and weeks ahead. “It was Wall Street’s worst day in more […]

FINRA Announces Enforcement Priorities for 2020

February 25, 2020 Blog

In January, the Financial Industry Regulatory Authority (FINRA) announced its top priorities for 2020 in the areas of risk monitoring, surveillance and examination of securities offerings, stock brokerage firms and individual brokers. The list, which is in the form of a letter from FINRA President and CEO Robert Cook, highlights […]

Did You Invest in an Initial Exchange Offering (IEO)?

February 21, 2020 Blog

A couple of years ago, initial coin offerings (ICOs) burst onto the scene as a new and innovative way for the public to invest in cryptocurrencies. Individual investors seeking to profit from speculation in Bitcoin and other currencies flocked to ICOs, and they brought substantial profits to the companies that […]