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Posts tagged "News of Interest to Seniors"

Boca Raton, Florida Senior, Retirement and Elder Financial Abuse and Financial Exploitation Attorney

Boca Raton, Florida Senior, Retirement and Elder Financial Abuse and Financial Exploitation Attorney:

Social Media and Investing - Tips for Seniors:

10 Ways for Seniors to Protect Themselves From Fraud - South Florida Senior and Retirement Financial Abuse and Exploitation Attorney

10 Ways for Seniors to Protect Themselves From Fraud - South Florida Senior and Retirement Financial Abuse and Exploitation Attorney:

Refund and Recovery Scams - Boca Raton, Florida Fraud and Misrepresentation Attorney

Refund and Recovery Scams - Boca Raton, Florida Fraud and Misrepresentation Attorney

Refund and Recovery Scams Which Promise You That You Will Get Your Money Back:

Valuations of Unlisted Real Estate Investment Trusts and Direct Participation Programs - Boca Raton, Florida REIT and DPP FINRA Arbitration and Litigation Attorney

SEC Order Approving FINRA Rule Change Relative to How Member Firms are Required to Calculate the Value of Unlisted Real Estate Investment Trusts and Direct-Participation Programs:

The Sec has approved FINRA's plan to overhaul how member firms calculate the value of unlised real estate investment trusts ("REITs") and direct-participation programs ("DPPs").  Under the new rules - specifically FINRA Rule 2310 - the firms will be required to include on customer account statements a per-share estimated value for any unlisted REIT and DPP securities that they have reason to believe is reliable.  

John Thornes - South Florida Elder and Retirement Financial Abuse, Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Boca Raton, Boynton Beach, Lake Worth, Delray Beach and Deerfield Beach, Florida Elder and Retirement Financial Abuse, Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: 

CP Capital Securities, Inc. - Hollywood, Florida Improper Markup Corporate Bond FINRA Arbitration and Litigation Attorney

Hollywood, Dania, Fort Lauderdale, Pompano Beach and Deerfield Beach, Florida Improper Markup Corporate Bond FINRA Arbitration and Litigation Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Robert G. Bard - South Florida Securities and Bank Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Boca Raton, Delray Beach, Boynton Beach, Lake Worth and West Palm Beach, Florida Investment Advisor Securities and Bank Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney:

Securities and Exchange Commission v. Robert Glenn Bard, et al., Civil Action No. 1:09-cv-1473 (M.D. Pa.)

Kenneth Gross - Sale of Unregistered Stock - South Florida Investment and Securities Fraud Litigation and Arbitration Attorney

South Florida Investment and Securities Fraud and Mismanagement Litigation and Arbitration Attorney:

Securities and Exchange Commission v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Civil Action No. 13-CV-04464-RGK (JCGx) (C.D. Cal. June 20, 2013)

Registration of Dealers, Associated Persons and Investment Advisers in Florida - South Florida Securities Attorney

Registration of Dealers, Associated Persons, and Investment Advisers in the State of Florida - South Florida Securities Attorney:

Chaper 517.12 Fla.Stat. labeled Registration of dealers, associated persons, and investment advisers provides in relevant part that:

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