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  • Common Litigation Challenges for Financial Advisors

    In the securities law arena, there are more issues than just fraud, misrepresentation, breach of contract, etc. Financial advisors are sometimes involved in the following types of litigation problems and should, therefore, be familiar with the following terms: Promissory Notes, Broker Raiding, Regulatory Compliance, Solicitation, Broker Protocol and Sunset Agreements/Sale of Practice.

  • The Financial Advisor Expungement Process

    Financial advisors registered with FINRA each have information regarding their experience in the securities industry available on FINRA’s Broker Check. The purpose of BrokerCheck is to help investors make informed choices about brokers and brokerage firms-and to provide easy access to investment adviser information.

  • Overview of Business Development Company (BDC) Investments

    A Business Development Company (“BDC”) is a form of investment company that invests in small and mid-sized businesses. Investors can buy shares in a BDC, and the money from their investments is used to fund the businesses. In turn, investors can profit from dividends paid on their investments, or, in some cases, the sale of their shares.

  • Financial Advisor Promissory Notes (Up-front Forgivable Loans)

    Promissory Notes (often called an up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley, Merrill Lynch, Wells Fargo, Ameriprise and UBS Financial Services. Essentially, brokerage firms use the up-front forgivable loans to recruit financial advisors from other firms to bring their clients (or “book of business”) to the new firm.

  • Importance of Brokerage Firm Due Diligence on Alternative Investments

    “Alternative investments” generally refer to all non-traditional investments – like stocks, bonds, and mutual funds. Examples include oil and gas limited partnerships, non-traded REITs, business development companies, tenant-in-commons, and equipment leasing funds. The commonality is that alternative investments are high-risk, generally illiquid, and pays a high commission to the advisor that recommends them.

  • How To Know If Your Broker Is Churning Your Account

    Churning claims arise out of the inherent conflict of interest involved because a financial advisor is compensated by commissions earned in buying and selling securities on behalf of a client. As long as financial advisors are compensated by commissions, the unscrupulous ones will continue to attempt to enrich themselves by excessively trading accounts.

  • Startup Securities Law Basics
      by HG.org

    When startup companies are planning on raising funds through investors outside of the business, it is important to understand securities laws and the implications of what violations and offenses could mean for the organization. This means an expert should be contacted such as a securities law lawyer.

  • What is the Purpose of UCC Financing Statements?
      by HG.org

    Uniform Commercial Code is a form of filing in regards to liens. These are connected to financial lenders who have an interest in an asset. This means that if someone were to enter an agreement where collateral is needed, the UCC lien may be filed against the assets that the borrower pledges in order to secure any loan monies.

  • Expert Witnesses and the Securities Fraud Case Certification
      by HG.org

    Fraud is often a very damaging crime to those affected. The theft of information or funds from a company tends to harm multiple persons, and it may lead to a continued problem for the business. When certain information is taken, it may be highly injurious based on who is involved and how much is stolen.

  • Individual Investors Can Seek to Recover Losses through FINRA Arbitration

    For individual investors, the Financial Industry Regulatory Authority’s (FINRA) arbitration process provides an opportunity to recover fraudulent investment losses without going to court.


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