securities

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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 […]

A “Small” Claims Avenue of Redress for Investors

We have commented in this space before on the starkly discouraging facts facing investors contemplating bringing legal action to redress the wrong doings of Wall Street.  To […]

By |April 15th, 2014|Categories: Wall Street|Tags: , , , , , |0 Comments

Is Investing in Bonds a Safe Investment?

The assumption that bonds are a uniformly “safe” investment is not always true.  Some bonds are unrated and must be evaluated by your financial advisor […]

The Battle for a Fair Arbitration System for Investors

There is a growing drumbeat from officials and members of the public demanding an alternative to the biased system of mandatory arbitration administered by the Financial Industry Regulatory Authority (FINRA). The battle for some semblance of justice for investors is not new, however.  […]

By |March 11th, 2014|Categories: Washington|Tags: , , , , |0 Comments

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 […]