3 Stock Brokers Accused of Securities Misconduct by Customers

Rockwell Global Capital LLC (Rockwell)  stock brokers Robert E. Lee Jr., Douglas Guarino, and Lawrence Lee have been the subject of at least 29 combined […]

The Puerto Rico Municipal Bond Crisis

For those unfamiliar with the Puerto Rico Bond Crisis, which has been developing over the past several months, attorneys believe that Switzerland’s UBS AG exposed […]

Financial Abuse of Elders

Financial abuse of elders can be prevented or stopped.  If the abuse has already occurred, its tragic results can often be rectified to a significant degree.  However, the individual’s rights must be vigorously asserted in a system that is confusing and often unfairly biased in favor of the financial industry and against individuals. […]

Investor Risks with Private Placements

Companies raise billions of dollars each year by selling private placements.  Private placements are non-public offerings that are exempt from registration under the federal securities […]

Should You Leave Your Wall Street Firm?

You have seen the headlines. Bank of America buys Merrill Lynch. Goldman Sachs sells toxic mortgage pools as safe investments. JPMorgan Chase pays a $13 billion fine for cheating customers. It goes on and on and on. There is no apparent end to the greed and corruption that runs rampant on Wall Street.  How does this impact you?

A Corrupt Business Model

Wall Street’s lobbyists have a big job. They make sure no executives, who make the decisions to rip-off investors, go to jail. It is safe to say the lobbyists have been extraordinarily successful creating a regulatory environment that allows big firms to pay fines without admitting guilt. No guilt means no jail time for the executives who made the unethical decisions. […]

Wall Street Fights Higher Ethics Standards for Stockbrokers

Prior to 1975 stockbrokers were called Customers’ Men. Their role was to help clients achieve their financial goals. They did this by performing duties that […]