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Brian Smiley Receives PIABA’s 2014 Distinguished Service Award

November 17, 2014 by lmitchum

On October 24, 2014, the Public Investors Arbitration Bar Association (PIABA), an international bar association comprised of attorneys dedicated to the representation of individual investors in disputes with the securities industry, announced the 2014 PIABA Distinguished Service Award recipient, Brian N. Smiley. Brian is a former president of PIABA and member of its board of […]

Filed Under: Firm News Tagged With: Atlanta Securities arbitration attorney, Atlanta securities law firm, Investment Fraud Attorney, Securities Arbitration Attorney, Securities Law Firm

Mike Bishop elected president of North Fulton Bar Association

February 20, 2013 by lmitchum

Smiley Bishop & Porter partner J. Michael Bishop has been elected president of the North Fulton Bar Association for 2012-2013. The NFBA consists of approximately 130 members who are primarily lawyers practicing or living north of the Chattahoochee River in the Atlanta, Georgia metropolitan area. Its membership also includes judges whose jurisdictions include North Fulton County. […]

Filed Under: Firm News Tagged With: Atlanta stock fraud attorney, Securities Arbitration Attorney, Securities Law Firm, Securities Lawyers

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

Initial Impressions: What Do Financial Planning Designations Mean?

June 14, 2011 by jordan

If there is one thing that is not in short supply in the financial planning profession it’s initials. Professional designations in the financial planning business include CFPs, CFAs, ChFCs, RIAs, RRs, and CSAs to list only a few. To make things even more confusing, many people carry multiple designations. While no professional designation guarantees wisdom […]

Filed Under: Blog Tagged With: FINRA, Investment Fraud Attorney, SEC, Securities Law Firm, Securities Lawyers

Investors Warned About Stock-Based Loan Programs

June 1, 2011 by jordan

Investors Warned About Stock-Based Loan Programs

FINRA has issued an Investor Alert to warn investors about stock-based loan programs. Brokers, financial planners, insurance agents and other advisors are pitching these programs as a way for clients to tap into the value of their stock holdings without having to sell their shares. The idea is that the broker will arrange for the […]

Filed Under: Blog Tagged With: FINRA, Investment Fraud Attorney, Securities Law Firm, Stock Fraud Attorney

Nuveen Investments Fined $3 Million by FINRA

May 23, 2011 by jordan

FINRA announced it fined Nuveen Investments $3 million for misleading marketing materials used to push its auction-rate preferred securities. Nuveen did not directly sell the securities to its customers, but it did create marketing brochures used by the brokers who sold the ARPS to retail customers. According to the FINRA news release, “The brochures were […]

Filed Under: Blog Tagged With: Auction Rate Securities, FINRA, Investment Fraud Attorney, Securities Law Firm

If You Want More Fraud, Try Cutting The SEC’S Budget

May 5, 2011 by jordan

The SEC’s budget is the topic of hot debate, with SEC Chair Mary Schapiro begging Congress not to make further cuts to the agency that is charged with policing our securities laws. It is distressing to contemplate that this is even up for discussion at a time when investors are still climbing out of the […]

Filed Under: Blog Tagged With: Collateralized Debt Obligations, Investment Fraud Attorney, SEC, Securities Law Firm, Stock Fraud Attorney

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

Wells Fargo Settles SEC Claims that Wachovia Sold CDOs to Indian Tribe at Inflated Prices in 2007

April 5, 2011 by jordan

The SEC announced on April 5, 2011 that Wells Fargo Securities agreed to a multi-million dollar settlement of charges that one of its units, Wachovia Capital Markets (which is now a part of Wells Fargo), committed securities fraud when it sold the Zuni Indian tribe complex securities known as collateralized debt obligations (CDOs) which are […]

Filed Under: Blog Tagged With: Collateralized Debt Obligations, SEC, Securities Law Firm, Wachovia, Wells Fargo

Reverse Convertible Notes

April 5, 2011 by jordan

Reverse convertible notes are short-term bonds peddled to investors by Wall Street firms. Throughout their term, they pay comparatively high interest rates, but whether they pay back the investor’s principal is the big question. The reason for that question is because a reverse convertible’s principal repayment is linked to the performance of a specific stock […]

Filed Under: Investment Products Tagged With: Investment Fraud Attorney, Reverse Convertible Notes, Securities Arbitration Attorney, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

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