SEC Defense Lawyer Brings Specialized Legal Expertise In Fort Lauderdale

There is a complicated set of regulations governing the securities industry, which, depending on the specific business, can be covered by about 50 different regulatory agencies, from the Securities Commission of each particular state to the Securities and Exchange Commission and any number of regional exchanges. This means that occasionally, people get unfairly caught up […]

An SEC Defense Law Firm Can Help You Weather An SEC Investigation

Hearing that your company is the target of a Securities and Exchange Commission (SEC) investigation can be both frightening and confusing. Just because your business has done nothing wrong does not mean that you won’t be asked to prove it to the SEC. The problem is, the very fact that you are being investigated can […]

What Soon-to-Be Retirees Should Know About Estates and Investments

If you plan to retire in the next few years, you should take careful steps to ensure your wealth is preserved so that you can enjoy retirement to its fullest. You should also carefully plan how you want your estate to be handled after your death, even if you intend to live to 100. Probate […]

Review your Trade Confirmations

A trade confirmation is a written document supplied by your brokerage firm that shows each brokerage transaction executed on behalf of a client in the client’s brokerage account. It is important for clients to look at each trade confirmation because it is the client’s way to verify that the broker has filled an order in […]

Are securities attorneys just for rich people?

The simple, straight forward answer is no. Most often, when people think about litigation involving stocks and bonds, they think about class action litigation or disputes that pertain to “rich” people. The fact is that millions of Americans have brokerage accounts and almost everyone is impacted by the stock market. Focusing on individual brokerage account […]