Smiley Bishop & Porter LLP

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A Selective Overview of Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

September 20, 2011 by jordan

Reasons for the Act Inspired by the financial meltdown of 2007-2010 Home market collapsed: total home equity in US dropped from $13 trillion in 2006 to  $8.8 trillion by  mid-2008, foreclosures Over 100 mortgage lenders  went bankrupt in  2007-08 Money market funds experience mass withdrawals ($144.5 billion in a week, compared to $7.1 prior week) […]

Filed Under: Articles Tagged With: Auction Rate Securities, Collateralized Debt Obligations, Lehman Brothers, SEC, Securities Law Firm

An Outline of the FINRA Arbitration Process For Customer-Broker Disputes

April 20, 2011 by jordan

I.          General A.        Nearly all brokerage firms require retail clients to sign an agreement to have all disputes between them decided in arbitration rather than court. B.        About 25 years ago, in Shearson/Am. Express, Inc. v. McMahon, 402 U.S. 220 (1987), the U.S. Supreme Court upheld the validity of arbitration clauses which require clients to […]

Filed Under: Articles Tagged With: FINRA, FINRA Arbitration, Investment Fraud Attorney, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Common Forms of Stockbroker Misconduct

February 25, 2011 by lmitchum

By Brian N. Smiley In recent months, the brokerage industry has been the subject of scathing headlines about fraud, corruption and conflicts of interest. The media have reported on abuses ranging from tainted research reports to outright theft by brokers. Investors have lost billions of dollars and confidence in securities markets has plummeted. Happily for […]

Filed Under: Articles Tagged With: Churning, Investment Fraud Attorney, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

10 Ways to Protect Yourself Against Fraud

February 23, 2011 by lmitchum

If you hope to prosper in today’s volatile market and lack the time or skill to choose your investments, you should find an honest, competent professional adviser, but that is easier said than done. Many brokers invest client funds with prudence and skill and put their clients’ interests first, even when inherent market risk brings […]

Filed Under: Articles Tagged With: FINRA, Investment Fraud Attorney, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Top 10 Tips for Dealing With Your Stockbroker in a Bear Market

February 22, 2011 by lmitchum

By Brian N. Smiley If you are going to make money in today’s unpredictable market and don’t have the time or the skill to make your own investment choices, you may have to select a professional advisor to help you. But that is easier said than done. As a group, stockbrokers are no more or […]

Filed Under: Articles Tagged With: Investment Fraud Attorney, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Reading and Understanding Brokerage Account Statements

February 21, 2011 by lmitchum

Co-Authored by J. Michael Bishop AAII Journal Every month, individual investors across the country receive brokerage account statements. Many investors find it difficult to understand the information contained in the statements and after a quick review of their account values never look at their statements again. There is, however, a method behind the seeming madness […]

Filed Under: Articles Tagged With: Investment Fraud Attorney, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Stockbroker-Customer Disputes: Making a Case for Arbitration

February 20, 2011 by lmitchum

By Brian N. Smiley As the bulls run wild on Wall Street, there is increasing evidence that the nation’s securities markets have also provided a home for vipers. Names of prominent executives and major brokerage houses have appeared under headlines announcing investigations, indictments and plea bargains for insider trading, market manipulation. Conspiracy, and other conduct […]

Filed Under: Articles Tagged With: FINRA, FINRA Arbitration, Investment Fraud Attorney, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Limited Partners Face Hidden Risks, Fees

February 19, 2011 by lmitchum

If you own a limited partnership interest, or are considering such an investment, you should be aware of a less-recognized form of investor abuse: limited partnership fraud. Because limited partners do not participate in day-to-day partnership operations and there is no board of directors to review management decisions, the general partner has almost complete control […]

Filed Under: Articles Tagged With: Investment Fraud Attorney, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

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Quote: Bernstein

There are two kinds of investors, be they large or small: those who don't know where the market is headed, and those who don't know that they don't know. Then again, there is a third type of investor - the investment professional, who indeed knows that he or she doesn't know, but whose livelihood depends upon appearing to know." —William Bernstein
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