Smiley Bishop & Porter LLP

Securities Arbitration & Business Litigation Attorneys

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Smiley Presentation Receives National Press

November 17, 2014 by lmitchum

Brian Smiley moderated a panel discussion on “The Arbitrator’s Perspective” at the 2014 PIABA Annual Meeting in La Quinta, California. Brian has spoken over 15 times at PIABA meetings on topics ranging from brokerage misconduct to arbitration strategy and techniques. This most recent presentation was the subject of a 10/27/2014 article http://www.thestreet.com/story/12927272/1/fighting-your-broker-in-arbitration-finra-judges-give-some-tips.html in TheStreet by […]

Filed Under: SBP In The Press Tagged With: Atlanta Securities arbitration attorney, FINRA, FINRA Arbitration, Securities Arbitration Attorney, Securities Fraud Lawyer

LPL Financial Faces Scrutiny

March 28, 2013 by lmitchum

Although you may not have heard of it, LPL Financial is a big brokerage firm with big problems. LPL is the nation’s fourth largest brokerage, after Wells Fargo, Morgan Stanley and Merrill Lynch. According to a March 21, 2013 article in the New York Times, LPL is facing a flood of complaints from state regulators […]

Filed Under: Blog Tagged With: Atlanta investment fraud attorney, Atlanta securities fraud lawyer, Atlanta Securities Lawyers, FINRA, LPL Financial, Merrill Lynch, Morgan Stanley, REITs, Wells Fargo

TICs That Bite Investors

February 20, 2013 by lmitchum

Smiley Bishop & Porter is pursuing claims against stock brokerage firms that made unsuitable recommendations that their clients invest in tenancy in common (TIC) properties. A TIC is a form of property ownership in which several people individually own an undivided part of an entire income producing property like an office building, warehouse or retail […]

Filed Under: Investment Products Tagged With: 1031 exchange, Atlanta investment fraud attorney, Atlanta Securities arbitration attorney, Atlanta securities fraud lawyer, Atlanta Securities Lawyers, FINRA, tenancy in common, TIC

FINRA Head Explains Perils of Complex Investment Products

October 31, 2012 by lmitchum

Richard G. Ketchum, Chairman and CEO of FINRA, appeared before the securities industry trade group SIFMA at its Complex Products Forum on September 27, 2012 in New York to admonish brokerage firms about the perils and obligations involved in marketing complex investment products to investors. According to Ketchum, while there is no legal definition of […]

Filed Under: Blog Tagged With: asset-backed securities, Atlanta investment fraud attorney, Atlanta Securities arbitration attorney, Atlanta securities law firm, Atlanta Securities Lawyers, Atlanta stock fraud attorney, Collateralized Debt Obligations, complex investment products, FINRA, leveraged and inverse ETFs, structured notes

FINRA Issues Warning About Structured Products, High Yield Bonds, and Floating-Rate Funds

August 1, 2011 by jordan

FINRA Issues Warning About Structured Products, High Yield Bonds, and Floating-Rate Funds

The paltry returns from many traditional income investments like government bonds and CDs and the volatility of stocks have inspired brokers to push investments that promise high yields, but often carry hidden dangers. According to a recent release from the Financial Industry Regulatory Authority (FINRA), these kind of investments include high-yield bonds, floating-rate loan funds […]

Filed Under: Blog Tagged With: FINRA, Investment Fraud Attorney, Leveraged ETF, Principal Protected Notes, Securities Lawyers

State of Georgia Investigating Sales of Reverse Convertible Notes

July 21, 2011 by jordan

It has been reported that the Secretary of State of Georgia, who regulates stockbrokers, is investigating whether securities laws were violated by the sale of reverse convertible notes to Georgia investors. According to a July 21, 2011 report in Bloomberg, the Secretary has issued subpoenas to UBS AG, Morgan Stanley, and Ameriprise Financial Inc. in order […]

Filed Under: Blog Tagged With: Ameriprise Financial, FINRA, Morgan Stanley, Reverse Convertible Notes, SEC, Securities Arbitration Attorney, UBS

U.S. Supreme Court Decision Gives Arbitration a Big Boost

July 6, 2011 by jordan

In AT&T Mobility LLC v. Concepcion (April 27, 2011), the U.S. Supreme Court handed a big win to corporations that want to avoid facing class actions for consumer fraud. In a five to four decision, the Court reversed a Ninth Circuit ruling that invalidated a provision in AT&T’s cell phone contracts which required customers to […]

Filed Under: Blog Tagged With: FINRA, FINRA Arbitration, Securities Arbitration Attorney, Securities Lawyers

Fraudulent Stock Tips and The Japanese Disaster

June 30, 2011 by jordan

It takes a cold, cold heart to exploit a natural disaster as a hook to defraud stock market investors. But according to a recent FINRA Alert, that is exactly what is happening in the wake of the Japanese earthquake, tsunami, and nuclear meltdown. FINRA reports that “con-artists” are engaging in “pump-and-dump” schemes to inflate the […]

Filed Under: Blog Tagged With: FINRA, Investment Fraud Attorney, SEC, Securities Fraud Lawyer, Stock Fraud Attorney

David Lerner & Associates, Inc. Apple REITs Investigation

June 17, 2011 by jordan

Investors in Apple REIT Ten sold by David Lerner & Associates, Inc. (“DLA) have reason to consider their legal options. FINRA recently filed a complaint against DLA, the underwriter of Apple REIT Ten which invests in extended stay hotels. FINRA alleges that DLA sold this investment to elderly and unsophisticated clients despite having failed to […]

Filed Under: Current Investigations Tagged With: Apple REITs, FINRA, Investment Fraud Attorney, Securities Arbitration Attorney

The Three Most Common Wall Street Defenses

June 16, 2011 by jordan

There are between 3,000 and 9,000 arbitration claims filed with FINRA against brokerage firms every year. The most frequently filed complaints allege that a broker breached his/her fiduciary duty, made misrepresentations, or sold investments that were not suitable for the client’s needs or investment objectives. For every case that actually gets filed in arbitration there […]

Filed Under: Blog Tagged With: Auction Rate Securities, FINRA, Principal Protected Notes, SEC, Securities Arbitration Attorney, Securities Lawyers

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