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Trade Investment Lawyers USA - Recent Legal Articles

  • PFG Lawyer
      by Cates Law

    If you were a client of PFG and lost money as a result of the company's fraudulent behavior, filing a claim against PFG will help to ensure that you recover some or all of your losses once PFG's missing funds are located. Russell Wasendorf Sr., the former CEO of Peregrine Financial Group Inc. (PFG) was arrested last week.

  • CDO Attorneys Use their Skill and Expertise to Protect Investment Victims

    Why would you need an experienced CDO attorney? Unfortunately, investors are frequently taken advantage of or "scammed" by brokers and financial advisors, even in the area of collateral debt obligations. As these asset-backed securities were found not to be diversified enough when the stock market started to collapse, it became apparent that these CDO's were being sold by investment bankers, who then used the money to themselves profit.

  • Deutsche Börse AG Suspends New Listings on the Open

    On December 20, 2011, Deutsche Börse AG suspended new listings for the First Quotation Board due to fraud and new cases of suspected market manipulation among several shares listed in the First Quotation Board. Deutsche Börse AG stated, “prosecution according to criminal law and supervisory legislation only seems to have a limited deterrent effect. By Brenda Lee Hamilton

  • Why Put Your Trust in a Securities Fraud Attorney?

    Once you have been taken advantage of by deceitful stockbrokers or financial advisors, it's hard to trust anyone. However, it is essential that you consult with a capable securities fraud attorney if a financial professional has encouraged you to invest in ventures that are risky or if they have invested your money without your knowledge.

  • New Listing Standards for Reverse Merger Issuers

    On July 9, 2011, the Securities and Exchange Commission (“SEC”) approved rules to increase the standards for companies going public through a reverse merger to list on the New York Stock Exchange (“NYSE”), American Stock Exchange (“AMEX”) and the NASDAQ Stock Market (“NASDAQ”).

  • Form S-8 Registration Requirements

    Registration of securities on Form S-8 (“Form S-8”) is a short-form registration statement under the Securities Act of 1933, as amended (the “Securities Act”). By Brenda Lee Hamilton, P.A. Hamilton & Associates

  • Do You Need a Commodities Fraud Attorney?

    If you trade on the futures market and suspect commodities fraud, it is to your advantage to consult with a talented commodities fraud attorney who will work to help you recover your losses.

  • Choosing a Securities Arbitration Lawyer

    Choosing a securities arbitration lawyer is not something that should be done in haste, and without careful consideration. When you are facing a dispute with brokers or financial advisors, it is essential that you have experienced and skilled legal representation.

  • The Criminal Cloud over S.E.C. Investigations of Insider Trading

    Your client, a respected real estate attorney, receives a subpoena duces tecum from the Securities and Exchange Commission (S.E.C.) requesting all documents relating to her purchase and sale of the stock of X.Y.Z., Inc.

  • When is a Promissory Note a Security?

    In this article, the author discusses when a promissory note is a “security.” The issue is important because, if the note is a security, then the issuer of the note must comply with securities laws. If the note is not a security, then the loan transaction can go forward without securities law compliance. Given the costs of securities law compliance, issuers want to avoid it whenever possible.


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